Amrit G.

About Amrit G.

With over 10 years of experience across global financial institutions, I specialize in regulatory compliance, conduct risk, and enterprise risk governance. As a Manager in Regulatory Compliance at HSBC, I focus on Risk and Control Assessments (RCA), control effectiveness testing, and continuous monitoring to ensure risks are effectively identified and mitigated in alignment with regulatory standards. My expertise in stakeholder management and communication enables me to work collaboratively with senior leaders to strengthen governance frameworks and risk culture. My work involves reviewing trigger events, executing continuous monitoring plans, and contributing to process efficiency improvements. With certifications including CFA Level I, FRM, and CS Executive, I bring a solid foundation in financial markets and risk analytics. I am passionate about supporting sustainable risk management practices and enhancing customer outcomes through robust compliance frameworks.

Experience

1. Manager - Regulatory Compliance

   HSBC

   May 2021 — Present

   Performed Risk and Control Assessments (RCA) by evaluating inherent and residual risk ratingsusing the Risk Prioritization Matrix (RPM), considering likelihood and group impact, andassessing overall control effectiveness through a review of associated key/non-key controlsand trigger events.• Reviewed Trigger Events (Issues / Events / Incidents) to assess their impact on residual risk andoverall control effectiveness of associated Risk.• Identified improvements and assisted in the ongoing development of systems to improve theefficiency of monitoring• Executing Continuous Monitoring Plans (CMP) to validate the accuracy of control effectivenessratings (design and operating effectiveness) based on design checks, MI and analytics reviews,and manual monitoring checks, including management and supervision, governance,authorization and approval, and trigger/change controls performed to derive the ratings.• Performed \"Review and Challenge (RAC)\" activities to provide objective feedback andrecommendations on the management of material risks and key controls, based on Risk andControl Assessments (RCA), control continuous monitoring plan (CMP), and Trigger Event(Issue/Event/Incident) reviews. Fostered close relationship with various teams, both onshoreand offshore.• Monitored and tracked the completion of RC stewardship tasks. Ensured timelyimplementation of recommendations, escalating when necessary.• Produced comprehensive MI reports and delivered insights to senior stakeholders, drivingimprovements in risk control metrics and business processes.• Led the end-to-end hiring process for multiple roles, including defining job requirements,shortlisting profiles, conducting technical interviews, and on-boarding selected candidates.

Education

• The Institute Of Company Secretaries of India

  Companies Law, Drafting, Taxation (Direct & Indirect), Corporate Finance, Corporate Restructuring,..

  2010 — 2015

• University of Calcutta

  Bachelor's Degree, Accounting and Finance

  2007 — 2010

• Global Association of Risk Professionals (GARP)

  FRM, Finance and Financial Management Services

• CFA Institute

  Finance and Financial Management Services

  2015 — 2016