I am a seasoned Risk and Compliance Leader with over 19 years of professional expertise in various risk management, compliance, and strategic planning roles. Throughout my career, I have earned a reputation for successfully guiding and inspiring teams, implementing comprehensive risk management frameworks, and driving growth and innovation in the businesses I have had the privilege to serve.My professional journey has allowed me to gain insights into various risk classes, including Compliance and Financial Crime. Adept at establishing operational risk frameworks, I have led roles coordinating control testing, external audits, and maintaining regulatory compliance. My keen eye for identifying opportunities for operational efficiencies has consistently added value to the organizations I've been part of.One of my key strengths is my ability to create a balanced approach between growth objectives and risk mitigation strategies. This, coupled with my knack for making precise decisions in determining an organization's acceptable level of risk, has helped me to navigate teams through complex challenges successfully.My approach to leadership focuses on coaching and mentoring, fostering an environment of mutual growth and accountability. This philosophy has contributed to my successful oversight of essential compliance and risk projects and to establishing a regulatory-aware climate across organizations.As a certified expert in Sarbanes Oxley and an accredited Certified Privacy Expert by the Data Security Council of India, I bring a wealth of knowledge and expertise to any team. I am always keen to collaborate and create the harmony that drives efficiency, improvement, and innovation in risk management and compliance.As we navigate the complex landscape of today's business world, I look forward to continuing to leverage my skills and experiences to drive strategic decision-making, risk management, and compliance processes.
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DirectorBarclays Private BankMumbai, Mh, In -
Senior DirectorTiaa Jan 2022 - PresentMumbai, Maharashtra, India -
Vice President Operational Risk - India & DubaiBarclays Jul 2019 - Jan 2022Mumbai, Maharashtra, India• Collaborated with industry and regulators on guidelines like Data localization and Basel III Operational Risk capital assessment• Provided guidance on business risk profiles for Corporate Banking, Investment Banking, and Private Banking in India and UAE• Achievement: Led successful regulatory inspections, developing documentation for the Enterprise Risk Management (ERM) program• Devised systematic audit scheduling based on company-wide risk assessment and senior management… Show more • Collaborated with industry and regulators on guidelines like Data localization and Basel III Operational Risk capital assessment• Provided guidance on business risk profiles for Corporate Banking, Investment Banking, and Private Banking in India and UAE• Achievement: Led successful regulatory inspections, developing documentation for the Enterprise Risk Management (ERM) program• Devised systematic audit scheduling based on company-wide risk assessment and senior management interaction• Implemented a Non-Financial Risk Management framework aligned with global and local regulations, including Risk Appetite Framework• Achievement: Served as the point of contact for the Reserve Bank of India (RBI) on operational risk matters Show less -
Vice President Operational RiskNomura Mar 2014 - Jul 2019Mumbai, Maharashtra, India• Spearheaded numerous Risk Reviews across different divisions, prioritizing the enhancement of operational efficiency and effectiveness• Oversaw day-to-day operational risk management tasks, encompassing assessments of risks and controls, incident capture and analysis, and strategic scenario planning• Assessed opportunities for operational improvement and project implementation while formulating policies and establishing benchmarks• Prepared and delivered regular risk deliverables,… Show more • Spearheaded numerous Risk Reviews across different divisions, prioritizing the enhancement of operational efficiency and effectiveness• Oversaw day-to-day operational risk management tasks, encompassing assessments of risks and controls, incident capture and analysis, and strategic scenario planning• Assessed opportunities for operational improvement and project implementation while formulating policies and establishing benchmarks• Prepared and delivered regular risk deliverables, such as operational risk profiles, incident summaries, and outcomes of scenario analysis, to business partners• Achievement: Supervised the validation and coordination of qualitative risk reporting, including Key Risk Report, Enterprise Risk Management (ERM) Implementation, Own Risk Self-Assessment, and Model Governance Show less
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Operational Risk And ControlBnp Paribas Aug 2011 - Mar 2014Mumbai Area, IndiaOperational Risk, Credit Risk support, Permanent Control Reporting and Business Continuity Planning matters
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Manager ImplementationHsbc Feb 2010 - Sep 2011Working with Sub Custody and Clearing team at Mumbai I am responsible for Implementing the new FII, FDI or FVCI mandates won by sales team. This includes advising clients on legal framework in India for Foreign Investors, Liaising with SEBI and RBI on registration, ensuring the setups are done within defined TAT. -
Asst ManagerHsbc Securities Services May 2007 - Feb 2010
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Area Sales ManagerMotilal Oswal Securities Limited Jan 2004 - Apr 2007
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Team Leader-Client RelationsKotak Securities Ltd Jan 2004 - Jun 2005
Santosh Sharma Education Details
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SoxcpaSox -
BimitFinance And Marketing -
Pt. Ravi Shankar UniversityRaipur; Physics And Mathematics; Science -
Data Security Council Of India (Dsci)Data Privacy
Frequently Asked Questions about Santosh Sharma
What company does Santosh Sharma work for?
Santosh Sharma works for Barclays Private Bank
What is Santosh Sharma's role at the current company?
Santosh Sharma's current role is Director.
What schools did Santosh Sharma attend?
Santosh Sharma attended Soxcpa, Bimit, Pt. Ravi Shankar University, Data Security Council Of India (Dsci).
Who are Santosh Sharma's colleagues?
Santosh Sharma's colleagues are Jon Maximo, Mba, Naveen Hingorani, Chandu Sekhar, Supath Gupta, Abhilash Sahu, Renata Nina, Linda Bradley.
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Santosh Sharma
Bengaluru -
Santosh Sharma
Strategic Leader | Dgm At Reliance Jio | Google Certified Program Manager | Ibm Certified Devops Professional | 13 Years In Product, Program & People Mgmt. | Expert In Partner Relations, Team Development & Proj. Exec.Navi Mumbai -
Santosh Sharma
Manager - Information Security & Quality At Esri India ||Grc||M.Tech|| B.Tech || Cmmi|| Iso 9001 || Iso45001|| La Iso 27001|| Iso 31000|| Iso 22301|| Iso 20000-1|| Iso 27701||Ssgb||New Delhi1gmail.com
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