Sam Marshall Email & Phone Number

Profile SummaryExperienced Risk and Compliance Specialist with ademonstrated history of working in the financial services industry. Skilled in Operational risk Monitoring &Assessment / Formulating Procedure / People ManagementSkills/ MIS Reporting / Training & Orientation / Operations Management/Risk Analysis & Management. StrongOperational risk professional with Executive General Management from IIM - Lucknow.Manager , Operational Controls Testing Supporting the 1st Line of Defence Operational Controls Testing activities of the enterprise. Tracking new regulatory requirements to ensure testing groups are evaluating the needs to modify or develop new testsConclude Risks evaluation and key controls' testing on time,To ensure targets set for month and the year are met Carry out a risk based approach to control activity, which will involve the execution of a robust schedule of control testing Prepared RCSA for the process and list down the Controls basis Criticality. Prioritize the control testing basis the likelyhood, Occurrence and impact.Perform 4 eye check on the report prepared by Auditor and Sr auditor and make required changes if any.Identify operational risk issues and assign risk ratings consistent with established policies and standards.Review for consistency and thoroughness, and suggest mprovements for better resiliency. Proactively monitorControl effectiveness through quantifiable risk measurements.Key Result AreasManaging the team of Auditors and Senior Auditors Effective resource allocation.Assigning the identified regulation to Team for developing the test scriptReviewing the test script developed by team members Tracking all the testing are carried out as per the planned SOPDoing the Level 1 reviews for Observation identified by TeamProviding compliance related status reports to ManagementAssisting the Team for any process queries or system issues faced while performing the testing.Addressing various ad-hoc requests from internal and external Business UnitsIdentify any gaps in processes and recommend and implement changes to strengthen internal controlsCommunicate with the Business Unit for any process relatedUpdate required Recommend opportunities for cost savings

Listed skills include Bpo, Loans, Mortgage Lending, Mortgage Servicing, and 16 others.