Piyali Malkani

Experience

• 

  EXL-Noida Customer Operations

  Apr 2004 - May 2008

  • Handling escalations• Credit Control Discussions• Undertake complex reconciliations & investigations• Mentoring the new credit controllers  Maintaining the cash flow for Aviva Making Inbound/Outbound calls Undertaking reconciliations Handling investigations and query resolution Work Management activities for premium collections

  • Subject Matter Expert

    May 2006 - May 2008

  • Credit Control Executive

    Apr 2004 - Apr 2006
• 

  WNS Global Services SA

  Jun 2008 - Jul 2011

  Assistant Manager - Risk & compliance

  Risk And Control:• To ensure adherence to all relevant internal and external regulatory/ statutory requirements as per the specific business alignments• Conducting process reviews and regular control testing’s as per CSD & IR methodology• Create and implement control testing schedule. Ensure 100% coverage of all high and moderate risk processes• Identify control gaps and provide recommendations to implement the controls in the process and get them uploaded in Risk & Control self Assessment• Preparing teams for any regulatory , internal or external audits. Ensure facilitation of audit• Training the teams on Risk & Control• Error Log analysis for all businesses based on Risk Event categories• Facilitating the error log meetings with business• Preparing Root Cause Analysis for dollar amount loss/gain in any of the businesses• Reviewing processes and ensuring the process documents are revised and updated as per the process guidelines• Effectively coordinate with the Management and stakeholders for speedy resolution of all risk and control related issues• Periodic / event based reporting to operations / management Show less

• 

  BNY Mellon

  Jul 2011 - Mar 2015

  Sr.Embedded Control Analyst

  Risk And Control:• To ensure adherence to all relevant internal and external regulatory/ statutory requirements as per the specific business alignments• Conducting process reviews and regular control testing’s as per CSD & IR methodology• Create and implement control testing schedule. Ensure 100% coverage of all high and moderate risk processes• Identify control gaps and provide recommendations to implement the controls in the process and get them uploaded in Risk & Control self Assessment• Preparing teams for any regulatory , internal or external audits. Ensure facilitation of audit• Training the teams on Risk & Control• Error Log analysis for all businesses based on Risk Event categories• Facilitating the error log meetings with business• Preparing Root Cause Analysis for dollar amount loss/gain in any of the businesses• Reviewing processes and ensuring the process documents are revised and updated as per the process guidelines• Effectively coordinate with the Management and stakeholders for speedy resolution of all risk and control related issues• Periodic / event based reporting to operations / management Show less

• 

  Barclays

  Mar 2015 - now

  Core responsibilities are Risk Advisory, training, Risk & control assessments, stakeholder management, governance and reporting, risk events/incident management, Internal/external audit engagement and closure packs for BTCI•Create Awareness , co-ordinate, collaborate , reconcile and handhold with the BUs for RACI Responsible/accountability matrix) implementation•Stakeholder Interface for query/issue resolution/ risk advisory to BUs and functions•Co-ordinate with BUs/ Functions to have a view of global issues / MCIs / etc, that may have impact on BTCI for local remediation and submission to R&G forums, OpCo, ExCo , BIA and others as appropriate•Interface with Global Tech Risk teams/ TCA , Global KROs, 2LoD, BIA, IRM etc for MCI , KRI and MI for BTCI•Validate BTCI key risk self assessments against ERMF for accuracy from a BTCI process/function/people ownership perspective•Establish clarity on Key Risk/policy Owners and action owners for key risks applicable to BTCI•Agree with BTCI COO and drive tone from the top for embedding risk ownership and accountability in BTCI•State control objectives for each of the Key Risk applicable to BTCI as per ERMF for respective key risk policy. Provide guidance and support to respective owners on controls that need to be implemented•Perform BTCI RCSA refresh and assessment. Discuss and agree on any additional control objectives and related controls that may be required at BTCI Entity and incorporate the agreed controls in BTCI RCSA accordingly•Interacting with BTCI Bus and Functions for submission of updates to India OpCo and CMC • Ascertain the BTCI Risk Heat Map status on monthly basis from BTCI Key Risk Owners for key risks pertaining to BTCILiaise with internal/external auditors on behalf of BTCI BUs/Functions for any audit engagements/challenges•Track closure of observations for conformance / controls / targeted testing performed by BTCI Tech Risk Team/Global Tech Risk Team Show less • To ensure compliance to BTS technology testing standards and IT security standards across BTS• Ensure the teams are following the the non-compliance request(NCR) process and related tools within BTS• Track and review BTS engaged projects using Live Data in Test and ensure the projects are following the Barclays IT Security standards. Verify the process supporting evidence like Live Data deletion from test environment, user access relocation, non-compliance approvals etc. as applicable so that projects are prepared for Barclays Internal Audit.• To review and monitor evidence around gap closure with respect to Management Self- assessment(Risk & Compliance Assessment) for Technology and operational risks•• Conduct Risk and Control Assessment trainings to Testing Delivery team from BTS clusters as per need basis• Prepare ,upgrade and review the training packs for BTS teams with any change / update in Group Standards and associated Risk & Control requirements• Understand and support Business Continuity Management(BCM) activities at Barclays• Coordinate with testing delivery teams during conformance reviews from BTCI Risk and Compliance team and Barclays Internal audit• Ensure closure of Observations from Barclays Internal audit or risk and control conformance review• Work with Business to highlight gaps and improvement areas• Perform Effective Root Cause Analysis for operational risk events (legal /vendor governance)• Track financial/reputational loss events for trends and monitor and support business to implement action plans• Advise or assist with process improvements around implementing controls in the business• Implement and embed controls related to Information Risk Management policy and procedures and embed the culture within the business• Monitor and implement the controls related to record management , Logical access management controls within the business• Ensure timely and accurate reporting of risk and compliance status for BTS function Show less

  • Vice President

    Mar 2021 - now

  • Assistant Vice President-Tech Controls

    Feb 2016 - Mar 2022

  • AVP -Test Risk Lead

    Mar 2015 - Feb 2016