VIKAS SHARMA
New York,NY
Summary
Experienced and credentialed risk and control professional with 20+ years across consulting and financial services, blending enterprise risk transformation expertise with a deep understanding of front-to-back trading, controls, and operational risk. Proven success in designing firm-wide control taxonomies, risk appetite frameworks, and regulatory-aligned operating models. Ex-Product Controller with quant orientation and Archer expertise, driving value across 3LoD, SOX, and compliance risk.
Overview
31
31
years of professional experience
1
1
Certification
Work History
Manager, Risk & Control Transformation
Ernst & Young (EY)
08.2021 - Current
- Led design of risk appetite, KRIs, and taxonomies across risk stripes.
- Built target operating models and RACI across 3LoD.
- Delivered RCSA execution, issues management, risk events & training.
- Designed risk aggregation methodologies and escalation frameworks.
VP, Operational Risk & TPRM (1st & 2nd Line)
Mizuho Securities USA
01.2013 - 01.2021
- Core lead for ORM; developed multi-level control library and RCSA.
- Led TPRM enhancements including contract/payable-based controls.
- Designed Archer workflows; conducted risk assessments and training.
- Covered front office, accounting, and vendor lifecycle risk.
Head of Product Control
Mizuho Securities USA
01.2009 - 01.2013
- Managed daily P&L across trading desks; led valuation control and IPV.
- Member of New Products Committee ensuring control integration.
Various leadership roles in Product Control & Risk Analytics
Fortis Bank | Lehman Brothers | ION Trading | Bank of America
01.2003 - 01.2009
Fixed Income and Equity Dealer
01.1994 - 01.2002
Education
MS – Financial Markets -
Illinois Institute of Technology
Chicago, IL2004
MBA – Finance & Marketing - undefined
University of Rajasthan
BA – Economics Honors - undefined
University of Rajasthan
Skills
- Enterprise & Operational Risk Management (ERM/ORM)
- Control Frameworks & Risk Taxonomies
- 3LoD Design & Implementation
- Risk Appetite & Metric Design (KRI/KPI/KCI)
- RCSA Execution & Issues Management
- Regulatory Gap Analysis & Responses (OCC/Fed)
- Archer GRC Platform (ORM/TPRM Modules)
- SOX
- Risk Reporting
- Scenario Design
Degrees
- MBA
- MS
Certification
FRM GARP
Timeline
Manager, Risk & Control Transformation
Ernst & Young (EY)
08.2021 - Current
VP, Operational Risk & TPRM (1st & 2nd Line)
Mizuho Securities USA
01.2013 - 01.2021
Head of Product Control
Mizuho Securities USA
01.2009 - 01.2013
Various leadership roles in Product Control & Risk Analytics
Fortis Bank | Lehman Brothers | ION Trading | Bank of America
01.2003 - 01.2009
Fixed Income and Equity Dealer
01.1994 - 01.2002
MBA – Finance & Marketing - undefined
University of Rajasthan
BA – Economics Honors - undefined
University of Rajasthan
MS – Financial Markets -
Illinois Institute of Technology
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