Siddharth Dasgupta Email & Phone Number

Karnataka, India

Bengaluru, Karnataka, India

• Senior leadership role leading an independent detective utility in the CAO 1LOD.• Test and review compliance of the CAO functions to policy and regulations, and ensure a strong control environment.• Functional Coverage include - Third Party Oversight, Inter Affiliates Oversight, Accounts Payable (including Finance LEC verticals e.g. Fixed Asset accounting and Employee expenses) and Procurement and Sourcing Operations• Responsible for design, execution and ongoing transformation of the QA program.• Governance for meeting the OCC, FRB and regional regulator expectations on the JPMC Outsourcing Program health• Additionally responsible as the Control Manager for CAO Finance and Business Management vertical• Building cross functional strategic partnership with control management and business teams to drive control enhancement and transformation.• In a very short period, streamlined and stabilized all the baseline activities,The delivery is now managed seamlessly.

• Deputy Head for the Controls function supporting, the Corporate Institutional Business (Markets) of the Natwest Group.• Designed and drove the risk and control agenda for the Front Office, Middle Office and Finance business. Directly managed a team of 5 senior resources, and indirectly responsible for the delivery of the overall team of ~ 20 seasoned risk and control professionals• Performed ongoing gap analysis with the group Operational Risk Policy, ensured substantial adherence• Enabled key lines of business such as Client Onboarding, FX Operations, Middle Office Operations, Securities, Collateral Operations and Settlement and Reconciliation to determine and design their qualitative and quantitative risk appetites and key risk indicators• Review and challenge issue and action plan remediation by the business, including exceptions to policy• Ensure appropriate protocols on operational risk event identification and recording are followed• Supplemented RCSAs through inputs on risk triggers and horizon risk assessments• Automated reporting dashboards and facilitated consistent reporting outcomes for senior management• Revamped and redesigned the Market Operation Risk Committee, and terms of reference thereof - Brought the focus back on material risk management and risk decisioning.• Owned the end to end assessment and testing of ~1200 SOX and Non SOX Key Controls• Brought focus on enabling control automation, and elimination of manual interventions through process and control adequacy.

Gurgaon, Haryana, India

Engaged in performing Second Line oversight, advisory, assurance, challenge and consultation on the multiple functions forming part of RBS's Global Shared Services Operations arm in India, including Finance Hub, Supply Chain, Workplace Services, Security and Resilience, Risk Infrastructure and Human Resources. Served as a helpdesk for my team which comprise of risk SMEs, on risk policy framework and interpretation.Key Result Highlights - Policy Implementation and Oversight:• Managed the entire gamut of risk oversight and assurance for all Functional teams• Played critical role in embedding Operational Risk policy pillars in the India services division• Annually drafted and proposed the bespoke appetite metrics for all top of the house risks• Embedded new methodology for process risk assessment across multiple functions• Drove adherence to appropriate control identification and design in line with SOX framework across functions• Provided consultative support and oversight on efficient and effective process design• First line process control testing supplemented and enhanced through sample based independent testing• Overseen risk data migration to new database from IBM• Overseen and enabled creation of risk governance forums across functions• Aligned the functional governance forums with higher enterprise forums• Extensive training to stakeholders on risk management and framework.

Gurgaon, India

Gurgaon, India

Part of the Process and Operational Risk Management team which is responsible for monitoring and controlling the deviations from the firm's standard practices governing Operational and IT processes. Was entrusted with the Supplier/Third Party Risk Pillar and additionally engaged in the operational risk evaluation and control activities pertaining to other processes or sub processes within American Express. The role involved the coordination/performance of risk assessments, evaluations, analysis, designing and implementation of controls, reporting and ensuring all round compliance with contracts/SLAs and any applicable regulation or statutes (Sanctions, FCPA, ABA etc).

New Delhi Area, India

Worked as Trainee correspondent in the Metro Plus section (Between January and March 2012). Transitioning to a new field from Auditing, this opportunity enabled me to glean few of the crucial and elementary nuances of journalism like collecting and distilling data prior to systematizing and reporting the news in a proper form. Also the variegated spheres, on which I wrote during this stint, ranging between- Books to art, photography, sculpture, cinema, food, society and personalities, broadened my perspective and skill sets in news feature writing.

Gurgaon, India

• Engaged as a Management Trainee in the Transaction Advisory Services division. Actively engaged in the bid process management of Power Finance Corporation (a Mini Ratna Company) which had been mandated as the nodal agency by the Ministry of Power for development of Ultra Mega Power Projects in different parts of India. This engagement was January to February 2007.• Thereafter was engaged in several assignments (both as an articled assistant and independently as Team Leader) ranging between Statutory financial, SOX and Tax Audits. Possess fair degree of experience and expertise in handling all the areas of the Financial Statements and Audit opinion formulation.

Chartered Accountant

B.Com(H)

Senior Secondary, Commerce

Senior School