Nitin Parambath Email & Phone Number

New York, NY, US

Frankfurt Am Main, Hessen, DE

• Execute Controls Design and Remediation across Americas regional, and Global Capital Markets, businesses.
• Manage Regulatory Remediation programs partnering with Cross-Divisional and Functional stakeholders.
• Assist the ESG team in the design and implementation of 1st Line controls to meet bank obligations.
• Drive enhancements to Non-Financial Risk Framework to help business monitor real-time risk.
• Supervise team responsible for global execution of the Risk and Control Assessment process.
• Monitor effectiveness of Control Environment through rationalization of key metrics.

New York, NY, US

• Assist with implementation of Enterprise Risk Management Framework within 1st Line of Defense.
• Lead conversion, drafting and publication of Conduct Risk Standards across First Line of Defense.
• Coordinated Colleague Risk Sub-Committee as part of Conduct Risk governance structure across all three Lines of Defense
• Streamlined Conduct Risk and Culture dashboard reported for Senior Management.
• Rationalized mandatory training requirements across Investment Banking businesses.
• Conducted Lessons Learnt based on risk events for Americas Chief Controls Office.

New York, NY, US

• Aligned Risk and Control initiatives in Client Service teams to Corporate Risk directives.
• Conducted Conflicts of Interest assessments pertaining to various regulations/sales practices.
• Managed pre-audit reviews, and associated remediation of identified gaps, for Funds Client platform and Sales teams.
• Briefed senior management on status of control initiatives impacted by regulatory directives.

Gogarburn, GB

• Provide a sustainable cross-Markets governance framework; performing, assessing, supporting and continuously improving the day to day operational control processes for Markets Americas Front Office
• Deliver practical cross-Markets governance and controls solutions consistently and globally which support the cultural and behavioral changes necessary for Markets Americas
• Provide ‘First Line of Defense’ support managing key components of the Internal Controls Environment
• Play pivotal role in the implementation of Supervisory regime across regional Markets Trading and Sales desks
• Lead remediation of Front Office related control issues/projects by liaising with all functional stakeholders (Operations, Technology, Risk, Finance, Operational Risk, Internal Audit, Regulatory Risk, Compliance)
• Author material for various global and regional governance committees

Gogarburn, GB

• Acted as risk manager/control expert for Trading & Sales desk.
• Provided secretariat function for the business governance committee
• Worked to deliver strategic business projects reducing RWA’s and other costs
• Ensured that Trading & Sales desk processes are compliant with all Regulatory policies
• Provide research and recommendations on risk issues inherent in new businesses, markets, or products especially with the implementation of regulatory rules (Dodd-Frank, Volcker)
• Performed quarterly assurance testing and certification of the adequacy and effectiveness of controls and compliance with Group policies, reporting the results and conclusions.

Gogarburn, GB

• Instrumental in successful recovery of the bank business during various incidents, some also which required relocation of staff to alternate recovery locations.
• Managed Business Continuity/ Disaster Recovery tests at the recovery site involving business users and tracked issues till resolution before issuing test-report to senior management.
• Facilitated roll out of Crisis Management procedures through table-top and call notification exercises.
• Implemented successful evacuation/fire/ life safety procedures, working with local building management, and conducting live evacuation drills and training fire wardens for the offices in New York & Connecticut.
• Completion of Business Impact Analysis, Business Recovery Plans working with Business Coordinators.
• Raised awareness by conducting presentations, authoring quarterly newsletters and creating wallet cards.

New York, NY, US

• Served as the US representative for the Business Continuity Management Global Programme Office, maintaining responsibility for providing guidance and support to the regional team, creating corporate plans, and ensuring.
• Created corporate documentation including information memorandums and crisis management guidelines and disseminate policies and standards to constituent business and technical units.
• Monitored and reported on business unit compliance to established global guidelines and standards, perform ongoing analyses and provide metrics in support of the Global Programme Office to Senior Management.
• Provided support to BCM Relationship Managers during exercise and testing, including site set-up, compiling planning documentation, and test result reports.
• Served as a liaison during crisis situations by leading and assisting in recovery and business resumption, and implementing response and alternate operating strategies.
• Undertook an active role in ensuring that the crisis management process was running smoothly per specified global programme standards and requirements.

Toronto, ON, CA

• Maintained data flow from exchanges and other information contributors, including conducting required operations to process incoming data through both real-time and historical Reuters’ tools and applications.
• Researched Futures and Commodities information from feeds, exchanges, faxes, phone calls, and the internet.
• Developed and implemented suggestions for quality improvement and provided ongoing training to ensure continuity of operations.

Frankfurt Am Main, Hessen, DE

• Worked closely with Business Continuity Managers to conduct the analysis and review of business contingency documents utilizing both interviews and walkthroughs.
• Document and abstract business continuity, disaster recovery and information security policies and procedures.
• Performed risk and gap analysis to identify various dependencies to business processes and recommend tactical and strategic remedies from both a procedural and product solutions perspective.
• Developed a risk framework on the basis of the design and implementations of business continuity and disaster recovery plans.
• Assisted with recovery operations of the firm from its alternate location following 911, including creating and streamlining inventory system of alternate recovery site

Master Of Business Administration (Mba), Information Systems

Master Of Business Administration (M.B.A.), Finance And Financial Management Services

Bachelor'S Degree, Engineering

Bachelor Of Engineering, Electronics & Telecommunications