Ashish K. Email & Phone Number

New Delhi, Dl, In

Pune, Maharashtra, India

• Risk measurement by performing Risk and Control Self-assessment (RCSA), assessing the inherent risks and driving compensating controls to ensure adequate controls landscape. • Risk mitigation by managing the operational incidents/ issues/ risk inventory from timely reporting, escalation, root cause analysis to pre-closure reviews; working with the data management team and business leads on data quality issues and data lineage; managing the entire controls lifecycle from designing new, maintenance of existing and decommissioning of obsolete controls; and, performing read across, thematic deep-dives, mapping with regulatory expectations and challenge sessions. • Risk monitoring by defining and validating key risk and performance indicators (KRIs/ KPIs); testing controls for Design and Operating Effectiveness, to comply with Sarbanes-Oxley Act (SOX)/ Risk Data Aggregation and Risk Reporting (RDAR)/ Control Activities Framework (CAF) standards; and maintaining oversight on regulatory reporting and compliance. • Risk governance and reporting by aligning to UBS frameworks and policies to establish minimum standards and inculcate risk awareness on various topics including data leakage prevention, issue management, supervisory framework etc.• Engaged with business, stakeholders & SMEs for sign-off on Projects/ Programs (e.g. Singapore/HK/Australia client migration), reviewed key initiatives, Business Continuity Plans (BCP),Enterprise Resilience (ER), provided Management Information (MI)/ updates on APACregion topics e.g. clients & business metrics, site/ infrastructure management, compliance etc.• Designed/ implemented people initiatives & influenced key metrics e.g. attrition (↓< 21%),Return-to-Office (RTO) (↑>60%), Line Manager Exit Survey score (↑>80%), CSR(↑> 40%),Permanent :Vendor ratio (↑> 75:25), Diversity (↑>33%), Net Promoter Score (↑>37) etc.

Pune, Maharashtra, India

• SPOC for effective and expeditious two-way M&A integration between key stakeholders bothwithin and outside Credit Suisse Global Operations and Union Bank of Switzerland (UBS)such as Business Units, HR, Business Continuity, Infrastructure, Site Management, SeniorFranchise Officer, Legal Entity and Chief of Staff.• Formulated a detailed business case and roadmap for transition of Global Operations India (1200+professionals) to strategic Enterprise Resilience framework and successfully got all stakeholders’buy-in of for full implementation by 1Q2024.• Initiated employee engagement and mentorship strategies towards a positive work environmentthat resulted in ≈ 5 % higher retention than the industry average.Skills : Project Management | M&A | Managing People & Processes | Operations Oversight | Senior Stakeholder Management | Planning & Execution | Executive Management | Senior Management Communications | Attrition Management | Business Strategy & Planning | Contract Negotiation | Enterprise Resilience/ Business Continuity Planning | Cost Optimization | Business Analysis | Business Process Re-engineering | Data Analysis | Analytical Skills

Pune, Maharashtra, India

• Provided leadership to a team of 800+ global professionals in further building talent, capabilities,and competencies by running special projects across regions around people, change, controls andtarget operating model which was reflected in improved KPIs.• Managed operational incidents, issues, risk inventory from MI reporting to Root CauseAnalyses to robust culture of remediation actions. Strengthened control framework by workingwith business leads to define/ document controls minimum standards and through Design andOperating Effectiveness assessments identified and remediated them as per Sarbanes Oxley(SOX)/ CS control frameworks which resulted in ≈ 15 % reduction in incidents/ KRI metrics.• Led identification & implementation of process improvements, standardizations and costoptimization across global teams and facilitated Change Management activities through costbenefit analyses, impact assessments, stakeholder analyses, and targeted communications.Skills : Global Operations | Leadership & Communication | Operational risk concepts | Data driven decision making | Deep understanding of broad-based business practices and segment/function business processes | Risk management principles and controls | SOX and other industry-related regulatory requirements | Ability to assess levels of adherence/execution and identify risk/control improvement opportunities | Driving and Managing Change | Crisis Leadership

Pune, Maharashtra, India

As Director, recruited SMEs and set up the complete Procurement, R&D, Finance, Marketing and Customer Experience divisions for the AI Video Analytics Technology Company ensuring business viability of the LLC within a short span of 3 months.

Mumbai, Maharashtra, India

As Senior Director of Maritime Operations, Warfare, Gunnery, Anti-Submarine Warfare & Security,• Devised and implemented ERP, technology, and engineering solutions for over 8 officers, 50 sailors (reporting directly) and 45 officers, 800 sailors (reporting indirectly) resulting in a two-fold increase in operational efficiency.• Maximized capital budget utilization by progressing and concluding projects for 23 land based naval units and 50 ships at a cost of USD 50 mn/ year, resulting in mission efficiency improvement by 25% over 2 years.• Revamped strategic plans and policies on logistics and operations of around 50 ships/sea-going assets and 5000 personnel which led to 50% increase in deployment periods without any additional capital expenditure.

New Delhi, Delhi, India

As Officer-in-Charge, Naval Division, Directorate General of Naval Operations, Integrated Headquarters of Ministry of Defence (Navy), • Successfully managed more than 20 stakeholders including government agencies in the operations planning and execution chain. • Developed new processes to enable cross-functional linkages and effective communication between stakeholders to optimize operations across continents.• Chief researcher and drafter of 'Blue Waters Ahoy!,' Navy's official book on Organizational Culture and Infrastructural Development, which was released by the President of India on Navy Day (04 Dec'18) to critical acclaim.

Gandhinagar, Gujarat, India

• In the role of Chief Operations Officer (to a Two-Star Admiral) on maritime operations, asset management, risk mitigation, financial planning, SCM and conduct of operations off Gujarat (India's frontline maritime state), led the team that created the first-ever 'Area Headquarters' in the State through M&A/ consolidation.• As Chief Infrastructure Development Officer for Gujarat, conceptualized, contracted and delivered infrastructure and technology transformation projects amounting to approx USD 100 mn without any budget or time overruns.

Ezhimala, Kerala, India

As the Training Commander, Indian Naval Academy, Ezhimala,• Developed and implemented a change strategy for Asia's largest Naval Academy, with a throughput of 2600 Officers/year, resulting in ≈ 60% improvement in training efficiency.• Authored and implemented a comprehensive 'Rules of Business & Compliance’ policy for effective coordination between cross functional teams which resulted in reduction of coordination costs by over 80%, and coordination failures by over 95% at the Academy.

Mumbai, Maharashtra, India

As the Commanding Officer (Captain),• Commanded a warship with over 200 crew, having state-of-the-art weapons, sensors, ICT and engineering systems, valued over USD 100 mn and deployed her at sea in challenging conditions with 100% mission fulfilment and was awarded Best Engineering Trophy-2013.• Spearheaded warship crew in mid-life upgrade, modernization and Maintenance-Refit-Overhaul (MRO) project amounting to USD 30 mn without any cost/ time overruns.

Kochi, Kerala, India

As Chief Instructor and Training Commander of Naval Gunnery School, INS Dronacharya, Kochi for Officers,• Conceptualized and inducted simulators for Gunnery Systems which enhanced training efficiency by over 90% and reduced costs by 95%.• Completely revamped training methodology and technology for Officers from more than 12 countries by enabling an increase in simulator-based training. This increased knowledge retention and application effectiveness by over 85%.

International

Experience of leading in demanding leadership portfolios for most of his career, including three years of international experience mentoring and leading diverse, multi-cultural, global professional teams in France and Russia. Led teams ranging from 20-1000 leaders, entrepreneurs, individuals, and handled assets and budgets upwards of USD 100 million.

Master Of Business Administration - Mba, Leadership And Strategy

Activities and Societies: Member of Learning & Development Council

Graduate Certificate, Public Policy

Master'S Degree, European, African And Asiatic Studies

Brevet Degree, Operations And Leadership

Master Of Science - Msc, Distinction

Bachelor Of Science - Bsc

10+2, Science