Overview
Work History
Education
Skills
Personal Information
Book reading
Timeline
Swapnil Janjale

Swapnil Janjale

Certified Information Systems Auditor (CISA) With Microsoft Azure AZ-900 And ITIL Certification With More Than 12 Years’ Experience In IT Auditing With Established Financial Institutions, Oil And Gas And SCM Sector. Professional Experience Includes Senior Stakeholders’ Management, External And Internal Audit With Respect To Design And Operation Effectiveness, SOX And EUBMR Audit, IT Auditing (on-prem And Cloud) And Advisory Services, Project Assurance, System Security Implementation.
Pune

Overview

13
13
years of professional experience

Work History

Senior Associate (AVP)

MSCI
09.2022 - Current
  • Supporting the broader team in the delivery of an effective Regulatory and Risk Control (RRC) across the Technology, utilizing Operational Risk Management Framework to provide the business with an assessment and assurance over the effectiveness of the control environment supporting the Technology
  • Working closely with the Risk Management & Engagement teams to ensure optimization of controls testing
  • Building relationship between Various IT Operational teams and internal departments to ensure IT Risk security posture is improved
  • Drafting, publishing and maintaining security policies and procedures and ensuring their adoption across the enterprise such as global IAM Strategy, DRP, Change management, Index in-scope inventory and 3rd party application
  • Overseeing the design and implementation of identity lifecycle management processes, including user provisioning, deprovisioning, and access recertification
  • Collaborating with various BUs to ensure access requests and approvals are streamlined, and segregation of duties (SoD) conflicts are addressed
  • Responsible for design and operation effectiveness testing of the control and timely closure of finding and observation shared by the internal and external auditors
  • Developing and enhancing the reporting of control effectiveness across the technology to provide control owners and Data & Technical Owners with the management information required to effectively manage services
  • Assisting team members in developing technical and professional competency
  • Coaching, training, and supporting consultants in the team
  • Collaborating and working across the Line 1 Risk Community delivering appropriate risk outcomes
  • Setting expectations and managing quality deliverables, maintaining various databases (status trackers, Governance reporting) and providing business leaders with insights on monthly management reporting
  • Leading a proactive risk and control culture and collaborate with the business.
  • Increased client satisfaction through thorough analysis of project requirements and delivering high-quality results.

Business Process Lead

TCS
07.2014
  • Compliance Lead: - Operational Risk Management for Critical and Non- Critical Application Successfully transitioned 300 plus controls for business-critical application as per BIA which are under SOX guideline to mitigate the risk to mark all control effective in the IT compliance domain
  • Responsible for design and operation effectiveness testing of the control and timely closure of finding and observation shared by the internal and external auditors
  • Carried IT general control reviews for the applications having significant financial impact
  • Conduct monthly Access management audits for all client accounts
  • Responsible for liaison between Client personnel and external auditors (Ernst and Young)
  • Based on Client’s IT architecture/landscape, documented IT policies and drafted procedures for User access management, Change management, Incident Closure, Vulnerability management
  • Demonstrating walk-through to internal and external auditor on controls for critical and non-critical application and timely closing the MER and Client Assistance list of evidences for the entire audit year
  • Responsible to mark controls effective and compliant to avoid the financial penalty to the organization
  • Performing the compliance and audit activities associated with 80 + SOX controls of Change, Access and Incident, RM, DP, CSI
  • Compliance review and validation as well as assisting with both internal and external audit engagements including third party business partner reviews
  • Identifying, assessing, managing and reporting risks within the application landscape and remediating as per the ITGC guidelines including supporting formal risk management activities e.g
  • Risk & Control Self Assessments and timely closure of Assurance action Performing the full audit cycle including risk management and control management over operations' effectiveness, financial reliability and compliance with all applicable directives and regulations
  • Gathering information and performing technology and outsourcing risk assessments, which includes evaluating emerging risks in the area critical and non-critical application and data protection that are associated with the ITGC Standards.

Sr. Associate

eClerx Services Ltd
06.2011 - 07.2014
  • EClerx provides consulting and outsourcing solutions to financial institutions across globe
  • Currently working in Reference Data (Contacts Processing) department of the major Swiss based Investment Bank
  • Contacts Processing involves database management of Clients and their Contacts in Customer Relationship Management (CRM) system
  • Designation: Senior Analyst- IB Operation: Key Responsibilities: Acted as POC for service operations performance with the Product Owners and Tech Engineering teams
  • Defined compliance document, monitored, measured the risk report and reviewed the level of Tech services provided
  • Monitored service performance against SLAs and produced service reports and escalated as required for business critical impact
  • Ensured agreed transition processes and scheduled were followed to ensure successful introduction of new services or versions of existing services
  • Managing Client communication & Escalations Independently: Weekly Conference Call, Video Conference call with the onshore Sr
  • Management Involved in mapping Clients and Contacts in Rapport data system on a daily basis with respect to the business done by the bank Responsible for preparation of SOP’s and updating new amendment on share-point
  • Quality Audits: Ensure quality audits performed by the team are done as per the norm set by the client Ensured appropriate back-up has been taken, e.g
  • From Bloomberg terminal for corporate actions Prepared various reports like PQRS metrics, Weekly metrics and Monthly business reports Conflict check
  • Helping the legal team at the start of the new deal by providing bank the clients past 3 to 4 year’s revenue details through GESC tool Worked on Rapport tool and EOB by aligning with Bloomberg, Share-watch (Thomson Reuters) and Big dough sources.

Assistant Manager

Reliance Capital Ltd
06.2008
  • (The concern is India's youngest and fastest growing company in the field of equity trading, finance distribution house
  • The concern has grown to 500 branches across India covering all the major states) Accomplishments: Designed and identified new products like Equities, IPO, MTF, Promoter funding and Bonds on PAN India Level
  • Managed the team of 6 senior executives & maintained team productivity
  • Conducted and presented training on Capital funding & Promoter Funding Process
  • Conducted corporate assessments with Service Level Agreement within TAT
  • Generated business from NCD & NFO through various distributors, brokers across the country in respect to the same
  • Prepared ‘Contract Note’ & an ‘IPO Note’ for circulation and coordinated with the Sales Team for marketing the issue
  • Alliances with all merchants, banks & financial institution for product and business solutions
  • Responsible for generating revenue & Advise merchants on upcoming financial Products
  • Co-ordinated with the Branch Customer Service Team to achieve Service Level Agreement
  • Explained the products like IPO’s, Bonds, Debentures, NFO, MTF to Corporate Clients and assists in meeting their financial needs.

Education

M.B.A -

University of Pune
Percentage: 59%

B.B.S - undefined

University of North Maharashtra
Percentage: 64%

H. S. C. - undefined

  • Percentage: 67%
  • Board: Nasik Board

S. S. C. - undefined

  • Percentage: 61%
  • Board: Nasik Board

Skills

    Stakeholder Management

Technical team interactions

Active Listening

Goal Setting

Reliability

Time management abilities

Personal Information

  • Date of Birth: 01/12/85
  • Marital Status: Married

Book reading

I am reading The Power of Now from Eckhart Tolle. It is probably the most powerful book I’ve ever read, and it changed the way in which I see the world and my position in it. What’s more, I learned, and also tried already, that to be present in your work is actually the most you can do for your employer, customer, and also for yourself. Because when you give your full attention to the present moment, to the task at hand, your work instantly gets another quality.

Timeline

Senior Associate (AVP) - MSCI
09.2022 - Current
Business Process Lead - TCS
07.2014
Sr. Associate - eClerx Services Ltd
06.2011 - 07.2014
Assistant Manager - Reliance Capital Ltd
06.2008
University of Pune - M.B.A,
University of North Maharashtra - B.B.S,
- H. S. C.,
- S. S. C.,

Similar Profiles

CREATE PROFILE
Swapnil JanjaleCertified Information Systems Auditor (CISA) With Microsoft Azure AZ-900 And ITIL Certification With More Than 12 Years’ Experience In IT Auditing With Established Financial Institutions, Oil And Gas And SCM Sector. Professional Experience Includes Senior Stakeholders’ Management, External And Internal Audit With Respect To Design And Operation Effectiveness, SOX And EUBMR Audit, IT Auditing (on-prem And Cloud) And Advisory Services, Project Assurance, System Security Implementation.