Sreejith K Kumar
Bangalore
Summary
As a seasoned financial services professional with over 16 years of experience specializing in Auditing and Assurance review. My goal is to leverage my in-depth knowledge of compliance control, risk mitigation, and operational efficiency to contribute to the organization's success.
Overview
17
17
years of professional experience
Work History
Assistant Vice President Business Risk Management
State Street Corporation
08.2019 - Current
- Build and continuously develop a dedicated team to achieve and sustain an effective assurance function and best-in-class controls and substantive testing program
- Design and deliver annual risk-based plans to assess the effectiveness of the First Line of Defense, and serve as an increasing basis of reliance for the Third Line of Defense and the external auditors
- Develop and communicate opinions in the effectiveness of First Line of Defense activities, escalating issues as appropriate
- Serve as a subject matter expert to the organization on controls, substantive testing, and risk mitigation strategies
- Drive activities and reviews to meet regulatory requirements for a management assurance function
- Execute a framework to test if the internal systems supporting compliance with regulatory requirements and expectations are properly designed, documented and implemented and include appropriate governance and data quality controls
- Lead the identification and risk assessment of issues; draft recommendations and liaise with business units to remediate risks, findings and gaps identified during the validation process; work with management to track issues to resolution
- Engage key business partners to facilitate completion of assigned deliverables and explain results
- Cultivate relationships across the Finance organization and Corporation with key constituency groups, such as Regulatory Reporting, Product Controllers, Operations, Treasury, Technology and Risk
- Manage the local team: review and provide feedback on team deliverables; recruit, retain and develop individuals
- Identify and drive transformation efforts to further enhance the functionality of RRA as a management assurance team
- Use appropriate data analytic and statistical tools and techniques to analyze a variety of data sources; use technology to help drive enhancement in assurance review testing and reporting workflow
- Develop internal partnerships to provide opportunities for more efficient solutions to various data, systems, and applications issues
- Develop subject matter expertise in regulatory requirements, best practices and expectations
Assistant Manager
KPMG
03.2010 - 08.2019
- Participate in all aspects of audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, and follow up and verification of issue closure, in close partnership with and support of other senior auditors
- Work closely with regional/global audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
- Develop recommendations to strengthen internal controls and improve operational efficiency
- Work with local, regional, and global audit managers in the early identification of emerging control issues and report them timely to senior management
- Communicate effectively, both verbally and in written form, audit results and issues
Associate Analyst Banking
iGATE Global Solution
10.2007 - 01.2010
- Compared financial metrics with industry peers to assess company performance
- Provided advice based on comprehensive financial risk assessment reports
- Analyzed factors such as income growth, management quality, and market share
- Evaluated credit information to determine lending risk
- Analyzed financial statements, cash flow, and ratios for Risk Assessment Form submissions for Royal Bank of Canada
- Awarded for best team in Productivity and Quality, Process Excellence, and received numerous Quality Performer accolades from State Street and KGDC
Education
Master of Business Administration -
Kannur University
01.2007
Bachelor of Commerce -
Calicut University
01.2004
Skills
- Leadership & Management
- Collaboration
- Effective Communication
- Strategic Thinking
- Adaptability
- Control and Risk Management
- Audit and Assurance
- Capital, RWA and Liquidity calculation
Accomplishments
- Partner with legal, compliance, risk management and other control groups establishing strong work relationships, while maintaining independence.
- Partner with colleagues in other locations and lines of businesses to facilitate achievement of the overall desired audit coverage.
- Responsible for appraisal process, ensure it is timely completed and proper feedback is given to team members.
Timeline
Assistant Vice President Business Risk Management
State Street Corporation
08.2019 - Current
Assistant Manager
KPMG
03.2010 - 08.2019
Associate Analyst Banking
iGATE Global Solution
10.2007 - 01.2010
Master of Business Administration -
Kannur University
Bachelor of Commerce -
Calicut University
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