Kalyan Sankar Dawn, CMIRM

Experience

• 

  Bnke Solutions Private Limited

  Sept 2005 - Nov 2005

  Customer Care Executive
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  Swiss Re

  Dec 2005 - Feb 2019

  WORKED IN ALL THE THREE LINES OF DEFENCESuccessfully implemented New Operational risk framework in Reinsurance Asia PacificManaging the process workflow related to work requests that are initiated from engagement team till completionAssisting territory engagement teams with testing of Manual Controls activities pertaining to Change management, Logical access, Computer operations (i.e. problem management, batch processing, back-ups), Program development, Design effectiveness of IT and Business Process controls, Operating effectiveness of controls, SOX Compliance and Internal auditSuccessfully contributed in all 3 lines of Defense, especially in assurance, quality reviewer, and testing coordinator roleSuccessfully introduced the new controls testing mechanism as per SOX ComplianceBuilt solutions to accomplish operational control change management processSME for IBM OpenPage; Control Testing Coordinator for Operational Risk Key Control, performing crucial testing in RA FrameworkEnsure regular interaction with clients and provide updates with regards to progress of control testingPerform control testing on AML / sanctions controls for various leading financial institutionsReview the testing performed by the team members to ensure internal controls are tested effectivelyManaging predominantly off-shore engagements and relevant Swiss Re client market teams ensuring to provide high-quality deliverables to support the Swiss Re Global Offices Show less Achieved flawless processing of technical accounts of clients of Spain in conformity with SOX controlSuccessfully deputising team leader and managing the blockDelivering periodical analysis based on existing financial and technical dataPositively influencing the client payment performanceSuccessfully performing financial handling and cash flow analysis of the portfolio, size of EUR 50’000’000.00Reducing the turnaround time within very challenging deadlines, increased productivityFlawlessly performing the yearly accounts closing in conformity with stringent deadlinesPeriodical client status analysis with stakeholders via Teleconferencing with HQ in Zurich, and clients in Spain (in Spanish) Show less SME Project work – Successful participation in project CSA (Core System Alignment) in 2006 to introduce new technical accounting systemLocal Business Expert Role (Trainer) – Successfully completed the training of the new technical accounting tool for the entire LH TA functionLocal Business Expert Role (Support) – Life and Health division (Latin American region), successfully supported the team in Bangalore in yearly closing of clients for accounting year 2006Claims handling – Successfully managed the clean-up and the follow-up of disputed claims databaseReduced the workload of 150+ open documents (+/- 300 hrs) to +/- 30 hrs within 4 months without single quality issueEffectively liaison with stakeholders in Zurich, and clients in Spain to solve technical issuesSuccessfully and effectively performed UAT of multiple business applicationsQuality Auditor – Worked as an internal data quality auditor for the team Show less

  • Operational Risk Management

    Jul 2014 - Feb 2019

  • Senior Technical Accounting Manager

    Oct 2012 - Jun 2014

  • Senior Client Portfolio Manager

    Dec 2005 - Oct 2012
• 

  Barclays

  Apr 2019 - Mar 2023

  AVP - Governance and Control Manager

  • Leading and managing the testing portfolio in 1st Line Assurance Team Globally• Developing the Core Business Application for control testing and execution – Solution Built• Independently identified and assessed issues and work with management to resolution • Improved the Enterprise Risk Assurance framework in reputation risk management area• Improved the overall process in Leading, coordinating, implementing follow-up, and documenting assigned activities • Program development, Issue and Operational Event Management, Design effectiveness review of Business Process controls, • Assisting and Coordinating with Directors in Risk, Governance, and Assurance projects• Risk, Compliance, Audit and Business Area Managing to ensure that there is adequate governance around implementing new risk and compliance policies and procedures, especially in Operational Risk controls, SOX Compliance, and Internal assurance• Managed ambiguity, supporting functional leaders, drafting, and delivering trainings, prepare trend analysis on risk data • Contributed to positive outcomes in regulatory inspections, audits, and reporting Show less

• 

  Wells Fargo

  Apr 2023 - now

  Vice President - Chief Control Office

  - Lead in RCSA Control Development: Evaluation, implementation, and monitoring of control.- Enterprise Risk Manager in 1st Line of Defense (1LoD): Ensured risk identification, evaluation, root cause analysis (RCA), risk and control self-assessment (RCSA), and risk register assessment (RRA).- Regulatory Committee Meeting Framework: Improved and enhanced communication and framework.- Audit Deliverables: Contributed to team engagement matrix, ensuring timely completion and improved client satisfaction.- Cross-border and Diverse Teams: Successfully managed complexities in engagements.- Control Design Standards: Contributed to standards for control design, testing, control blueprints, and industry framework alignment.- Subject Matter Expert (SME): Key person for business operations and assurance functions including compliance, legal, corporate regulatory, and operational risk management. Show less