Chetan Chandhok

Vice President and Head Compliance Assurance Testing @DBS Bank

IN

Built the Compliance Assurance Department within the Bank.# Framed Policies / Processes for evaluating compliance risk at business unit level and for conducting compliance testing within the Bank. Review the Compliance Policy of the Bank at regular intervals and get it approved by the Board. Conduct Annual Review of the Compliance Function and place it before the Board for their noting.# Conduct a Compliance Risk Assessment of the Bank as a whole bifurcated at risk theme and Business Unit level. Prepare a Thematic Review plan and get it approved by the Board. Responsible for completion of RBS Tranche Testing and the Thematic Review Plan.# Conduct critical thematic reviews and guide team members on other thematic reviews so that design gaps and operational lapses are identified, actionables are agreed upon with the business / auditee units based on root cause analysis and the responses are tracked / escalated for closure.# Conduct and guide the team for conducting reviews of the Treasury Team to identify anomalies in Benchmark Rate Submission and events like Front Running, Wash Trades etc.# Track the external and internal events to identify topics for Spot / Snap reviews to identify and resolve problem areas prior to external stakeholders identify the same.# Led the project to automate the process for compliance of regulatory obligations.# Advise the business teams on interpretation of circulars / regulatory instructions and track implementation of the same.# Prepare dashboards / presentations of compliance related activities during the month / quarter for the management committee / Board.

St. Sebastion Goan High School

SSC

Sydenham College of Commerce

BCOM, Accounting, Economics

The Institute of Company Secretaries of India

Company Secretary (Inter), Management, Legal,

Sydenham Institute of Management Studies

MBA (PGDBM), Finance