Profile SummaryStrategic professional with 14 years of rich experience with proven expertise in Risk and Compliance. Last associated with ANZ Support Services India Pvt. Ltd. as Assurance Manager - Wholesale Lending Operations, Institutional and International Banking. Proficient in identifying & evaluating risk areas across operational activities & implementing strategic plan to prevent, eliminate & mitigate operational risks. Experience in identifying ways of strengthening & measuring internal controls, improving efficiencies and adding value by matching organisational capabilities with client needs. Performing Vulnerability Risk Assessments, Periodic Audit / Mock Audits and so on.Proven track record in organising continuous audits to ensure compliance and sound functioning of the process across locations. Domain expertise in devising strategies for conducting quality inspections/ audits to ensure that product quality standards are adhered. Achievement oriented professional with excellent people management skills and an ability to manage change with ease.

Soft Skills Skill Set

EducationBachelor of Science (Electronics and Mathematics) from MES College, Bangalore in 2001Pre University College from KLE Society’s S. Nijalingappa College, Bangalore in 1998 10th from BP Indian High School, Bangalore in 1996

Certifications ISO 27001 Internal Auditor from BSI ManagementEnterprise Risk Management from Risk ProCertified Customer Service professional from Customer Service Institute of Australia

Personal DetailsPresent Address: #1294, 11th B Cross, 2nd Stage, 8th Main Road, West of Chord Road, Bangalore – 560086Date of Birth: 3rd November 1980Languages Known: English, Hindi, and KannadaPassport: K9822997

Risk Management& Compliance

Business Partnering

Talent Acquisitions / Retention

Quality Assurance

Operations Management

Business Continuity Management

Business Analysis

Banking Operation

Team Building & Leadership

SANDEEP M RAOTop Level Assignments: RISK & COMPLIANCE MANAGEMENT

Industry Preference: Service/ ITES/ Banking Location Preference: Bangalore/

Mumbai/Pune/Hyderabad/International rsandeep5159@yahoo.co.uk 09845449282 / 080-23590451

Motivational Leader

Change Agent Thinker

Collaborator Planner

Communicator

TimelineHighlights

Work Experience

Since Jul’10-Feb’16 with ANZ Support Services India Pvt. Ltd., Bangalore

Growth Path:Jul’10 - Apr’13 Assurance Manager - Global Commercial BankingApr’13 - Feb’16 Assurance Manager - Wholesale Lending Operations, Institutional and International Banking

Products and Services: Loans, Commercial Bills, Guarantees, Tailored Facility for Commercial and Institutional Customer Segment are offered as products and Services range from COMs – Customer On-Boarding Services encompassing CDD, KYC, AML and Collateral Management

Key Result Areas:Managing teams across 4 hubs both directly and remotely - India, Australia, New Zealand and Philippines and global business spread across 16 geographiesCollaborating with key stakeholders and resolving queries / key issues Performing information risk assessment for supporting applications and macros before they are implemented in the live environmentWorking with business to prepare business impact analysis to outline material and critical functionsIdentifying and rationalizing risks and suitable controls Organizing risk forums and presenting control deficiencies and KRI to business heads / stakeholders for implementing action plans and monitor treatment plansFacilitating:o Periodic audit / mock audits to check the level of compliance & awareness among business teamso Routine internals checks, self-attestation from business leads o RCA sessions with teams to control avoidable errors o Quality testing for the business, through sample testing of work requestsManaging and reporting compliance levels on policies and procedures at geography/ country levelReporting risks for frontline staff to prepare them for their scheduled annual and interim reviewsConducting consequence management discussions and help business in making the right decisionExamining the due diligence reviews; analyzing the AML risks associated by on-boarding the clients into the bankEducating team and creating awareness using risk based tools and guidesAnswering KYC/AML questions raised by the business relationship managers / frontline

Highlights:Initiated “Drive Zero” to drive awareness and discipline amongst staff to reduce negligent errors and typographical errors by conducting five WHY analysis and other Operational Excellence methods Received 4 managerial award/ stakeholder recognition for contribution between 2014 - 16Imparted risk trainings to staff across businessMonitored:o Product Remediation Project - which supported product owners to assess and manage financial

Firstring India Private Ltd.

ANZ Support Services India Pvt. Ltd.

Accenture Services Private Ltd.

Mar’02-May’03

May’03-Jul’10 Jul’10-Feb’16 date 2003-

Initiated “Drive Zero” and “Be BOLD” initiatives

Key role played in risk assessment for ROBOTICS solutions for

Handled Global Risk Operations for 16 countries supporting ~2500 FTE

exposureo Risk & compliance agenda for the business as per APRA regulations and Group Risk guidelinesPrepared risk trending on a monthly basis in the form of Key Risk IndicatorSuccessfully identified top 15 risks, by performing the Vulnerability Risk Assessments and FMEA, thus implemented 25+controls Identified and managed BCP activities of Wholesale Lending Operations by assessing business impact and testing Performed key control testing for business segments and reported the same to the management forumsConducted 3 audits for Back Office Operations to check on overall operations and control management, and ensured that the reports were released timely for external audit reviews

Previous Work Experience May’03 – Jul’10 with Accenture Services Private Ltd., Bangalore

Growth Path:Sep’08 - Jul’10 Manager - Risk & Compliance, Information Security & BCPSep’06 - Sep’08 Asst. Manager - Risk & Compliance, Information Security & BCPJan’05 - Sep’06 Team Lead - Insurance Claims Support & TransitionsMay’03 - Jan’05 Customer Support Representative (CSR)

Mar’02 – May’03 with Firstring India Private Ltd., Bangalore as Customer Services & Outbound Sales

Onsite AssignmentsSingapore 2015: Resiliency project for Hong Long and Singapore Banking Teams Melbourne & Manila, 2014: Wholesale Lending Operations - Business Continuity Load Balance ProjectMelbourne, 2011: Risk profiling and risk certification for Commercial Banking Teams OnshoreScotland, 2006: Managed Fleet and Commercial Motor Insurance, migrations United Kingdom, 2004: Managed end-to-end transition from process mapping, defining roles and responsibilities for FTE’s in the outsourcing model, preparing the OJT plan for one of the leading UK Motor Insurance Company client of Accenture

Awards / Recognition Received:o Certificate of Recognition for completing Local Leader –New in Apr’11o Certificate of Training for attending BS ISO/IEC 27001/2005 Information Security Management

System Internal Auditor Course by BSI Management Systems in Jun’07o Certificate of Achievement in recognition of successful completion of Academy of Leadership

Excellence in Jan’06o Certificate of Achievement for High Performance Delivery in Feb’05Certified Associate Member of the Customer Service Institute of Australia (CSIA) in Feb’12Certified Enterprise Risk Management (ERM) Professional in Mar’16

Whiz Kid Award in 2006-07

Éclat Award in 2005