Vivek Tyagi

Implemented key control testing across 11 compliance categories, strengthening regulatory compliance under the NFRM framework.

• Documented and executed detailed test plans and test cases and summarized and logged audit findings for reporting purposes.
• Supported the implementation of new software tools aimed at improving data management related to quality assurance activities.
• Collaborated with cross-functional teams to identify areas of improvement in quality control procedures, reducing risk exposure.
• - Partnered with global teams to update SOPs, incorporate regulatory changes, and streamline compliance processes.
• - Supported external and internal audits by preparing reports, collecting evidence, and coordinating with auditors.
• Mentored junior team members on best practices for quality assurance and compliance management, fostering a culture of continuous learning and development.

• Executed quarterly and semi-annual bank risk testing and ranking exercises to establish mitigation measures.
• Conducted periodic risk assessments and risk-ranking reviews to design effective risk mitigation strategies.
• Performed quarterly and semi-annual bank risk evaluations, prioritizing risks for mitigation planning.
• Led structured risk-ranking exercises to determine high-priority risks and drive corrective action.
• Developed comprehensive risk reports for senior management, promoting transparency and accountability in addressing identified concerns through Power BI.
• Monitored emerging risks and industry trends, providing valuable insights for informed decision-making processes.

• - Onboarded clients across broker-dealers in the Ameriprise network, ensuring compliance with documentation standards.
• - Monitored and delivered services in line with client SLAs.
• - Engaged in client discussions to align expectations, resolve issues, and deliver status updates.