Arthi Swaminathan Email & Phone Number

Mumbai, Mh, In

Mumbai, Maharashtra, India

Mumbai, Maharashtra, India

Mumbai, Maharashtra, India

- Leading and implementing the control governance framework to support the strategic 1st line of defence in defining and articulating their risks.- Defining the Risk appetite of the bank with appropriate contours by providing effective challenge to business teams.- Managing multiple areas of operational risk management, internal risk metric reporting, incident management and Information Security.- Proficient at identifying risks pertinent to critical activities of a bank’s business and devise strategic solutions to mitigate the same.- Globally manage Risk due to disruption of business - Designing, implementing and operating effective business continuity and business recovery solutions across geographically dispersed centres.- Proactively developing the risk culture within Morgan Stanley India to ensure an appropriate balance between growth, profitability, and risk.- Supporting the production of relevant risk management information including loss event reporting, to ensure the global stakeholders is kept apprised of changes in the profile of all key risks.- Contributing to the planning, scoping and execution of RCSA testing and independent validation of engagements and providing SME knowledge & skills in a timely manner.- Developing and executing a strong control through on-going development and evolution of key metrics.

Mumbai, Maharashtra, India

- Managing and developing the Operational Risk and Framework focusing on the upon banks risk strategy to monitor and assess internal controls performance.- Conducting reviews to minimise the risk associated with product in timely manner and also improve overall control environment.- Assisting and re-designing the enhanced controls for streamlining and building effective processes to assess the quarterly SOX 404 financial statement risk assessment.- Aligning the annual risk assessment process to capture controls status across all categories of risk.- Implementing controls to mitigate process risks in case of Operational Errors/Near misses/Exceptions.- Identifying, assessing and closing gaps of critical risks by ensuring all process issues & risk are appropriately represented to the management.- Reviewing process risk and escalate issues of inbound and outbound migration by ensuring completeness of Pre- migration Risk Assessment for all transitions- Ensuring review of key risk indicator framework ; Scorecards, Dashboards to ensure appropriateness of metrics/ KPI and facilitate business reviews

Mumbai Area, India

- Establishing an independent risk management function for developing and implementing a standardised framework to identify, measure, and monitor operational risk across the bank.- Conducting risk and control challenges and assessing the activities to ensure integrated monitoring of banks operational risks.- Ensuring regular review of User Developed Tool (UDT) by monitoring documentation, testing, change control and security of critical UDT’s. Implementing a strategic process for governing, maintaining and reducing UDT’s.- Liaising with Senior Management, Operations team to gain buy-in and involvement in strategy planning, Business Impact analysis, periodic testing and other critical activities- Reviewing errors by analysing the root cause, Risk Exposure and ensuring appropriate stakeholders reporting and escalation.- Establishing resiliency framework by monitoring BCP and BIA completeness and re-certification- Identifying appropriate Governance, Risk and Control (“GRC”) tools for possible use to house risk and controls framework and self-assessment results- Performing data analysis and build a strong and robust MIS platform and program and drive productivity initiatives to improve controls.

Mumbai Area, India

- Project handling and system implementation for tracking and monitoring the client vintage by researching the client's trading pattern and preferences.- PAN India implementation of an automated sales cum service module for digital and online clients- Analysing the clients investment and trading appetite and creating customised products for them- Designing Key performance indicators (KPIs) to ensure that the client's position is monitored on a real time basis by managing margin calls.- Automating the MIS reporting to the stakeholders to provide value-added services.- Firm-wide implementation of Information Security measures to help curb the vulnerability to data theft.

Mumbai Area, India

- Implementing and setting up private banking business by performing customer segregation, AML, KYC and risk monitoring.- Performing the revenue allocation by tracking the branch budgetary, revenue and cost allocation.- Negotiating with third parties on brokerage and fee-structure as well as receivable reconciliations.

Mumbai Area, India

- Front desk and query management - servicing customer and ensuring no complaints.- Implementing channel migration and various other projects in the branch like audit handing.

Mumbai Area, India

- Investing funds in short-term treasury management and preparing and finalising accounts of group company.

Chartered Accountant, Accounting And Finance

Bachelor Of Commerce (Bcom), Business/Commerce, General

Education record