Vicky Mantoo

• Activities includes PRSA Governance, Internal & External Audits , Risk assessment , Data Governance , Business Continuity Planning(BCP) , Third Party Management (TLM) , SOX Compliance , Manage Operational Risk Pillars Independently Manage Operational Risk Events and CAP’s for NAS Settlements team
• Coordinate with Compliance, Privacy, General Counsel’s office and other SMEs on Issue resolution
• Manage action plans to drive issue resolution, remediation and mitigation of risk events in partnership with the NAS Settlements team Introduced the Spreadsheet Governance Policy with the team and Act as SPOC for all PRSA related activities which includes Quarterly SOX testing and Operational risk compliance
• Independently Coordinate with IAG and PWC audits for the entire team providing timely supports and organizing live audits
• Developed BCP /BIA plan for NAS Settlement team .Regular refresh exercise with BCP office / Table top exercise to ensure complete and accurate Plan in the Archer System Provide Trainings on all compliance and Management Policies to the team Eg (AEMP 01, AEMP 07, AEMP 08, MJE Policy , AEFP 42 etc ) Coordinate with the Operational Risk and SOX team for Annual PRSA refresh exercise for ATM and Settlements Processes
• Manage and coordinate all the Project work in the team with stakeholders

• Collaborated with SMEs across enterprise to drive the SOX Optimization Performed the scoping of every work stream and its associated PRSA’s Created project timelines to ensure closure of each work stream on a timely basis
• Initiated discussion with SME’s and Control Owners to understand the process Created Process maps to determine financial risk and controls within the process Performed risk assessment of the process basis the financial thresholds applicable Mapping of financial transactions of the process to Report Line / RL-1 Documented SOX controls for the process and also created test plans Optimized SOX controls in order to create robust governance Coordinated efforts with IAG / PWC /Ops Risk Out come -SOX controls reduced from approx 3000 to 1200 Process Engagements - Remittance, FX Treasury, New Product, Regulatory Reporting, Merchant Rebates, Billings & AR ,Payment Services, Co-brand products , Global Disputes, Cash Rebates & Rewards, GNC transaction process, GFCI AR & SE Payables, Global impairment

B)- Worked on Significant Deficiency Project –Project was launched to perform the financial risk assessment on all the aggregated deficiencies for material value of more than 200 M USD .

v Performed the risk and control assessment of the process which were impacted by the aggregated deficiencies project . The processes were – Campaign Management, Product Management , US Billings and Payments

v Recommended controls where financial risks were not mitigated. Added and reworded controls in order to have robust documentation. Prepared process maps , created test plans ,gathered all the relevant information

v Worked with all relevant stake holder to get agreement and approvals . These were IAG, PWC , Ops Risk , Compliance and the process area.

v Shared results with the senior leaders in order to down grade the deficiency.

Worked on various SOX Related Projects –

v Supported in the preparation of annual financial Risk assessment document – This documented housed the information for all Report Lines/ RL-1 which are high risk , medium risk and low risk as per the SOX materiality thresholds

v Supported the SOX testing team in performing the quarterly testing of SOX controls which were rated as high risk controls

v Migrated the SOX CTC process from US team . This process was to govern the movement of SOX controls in open pages.

v Worked on linking the RL-1 information to all SOX controls in the company.

v Partnered with various Business Units, LORO teams , SME’s , Control owners , Internal Audit Group , PWC contacts , Compliance team . This included most of the financial process in AXP .

• Financial Reporting & Management Information System Regulatory Reporting SOX Compliance & Testing Financial Accounting/ US GAAP Internal Audit & Systems Review

• Key Accounts Management Client Management Team Leader – Operations

• Back Office Management Reporting Management Operational Risk Management Learning & Trainings Lead