Manoj Kumar Prasad
Vice President - Control Management (Flod Control Testing & Assurance) @Wells Fargo
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WORK HISTORY
Vice President - Control Management (Flod Control Testing & Assurance) @Wells Fargo
Hyderabad, IN
Operating within the Chief Operating Office (COO) under the Evidence-Based Control Evaluation (EBCE) program, I lead enterprise-wide control testing, assurance and Financial crime risk oversight across Corporate & Investment Banking (CIB), Consumer & Small Business Banking (CSBB), Consumer Lending (CL), Commercial Banking (CB), and Wealth & Investment Management (WIM). Lead enterprise-scale FLOD control testing and assurance, overseeing operating effectiveness across credit, payments (Swift/Wire), AML/KYC, sanctions, and conduct risk domains, supporting regulatory alignment with OCC and Federal Reserve expectations. Direct end-to-end issue management lifecycle, including root cause analysis, thematic reviews, and sustainable remediation, with regular reporting to senior leadership and risk governance forums. Drive QA/QC and control testing transformation, strengthening testing methodology, execution discipline, and risk-based coverage across a multi-region control environment. Lead GenAI/ML-enabled automation initiatives (test script generation, sampling, evidencing), delivering high % credible POC (proof-of-concept) success and improving efficiency, accuracy, and scalability. Partner across FLOD, SLOD, and IRM functions to enhance integrated risk monitoring, strengthen control maturity, and embed consistent 3LOD governance practices. Act as a capability builder, coaching global teams on control testing, AML/CFT, payments (SWIFT/Wire), and regulatory compliance standards.
EDUCATION
St Xaviers School , BHEL Jhansi
Physical Sciences
FACULTY OF ARCHITECTURE, UPTU,LUCKNOW
Bachelor of Technology - BTech, Electrical, Electronics and Communications Engineering
SRMS College of Engg. & Tech, Bareilly
Bachelor of Technology - BTech, Electrical, Electronics and Communications Engineering
Motivational Pathway
Bachelor's Degree, Electronics & Communications Engineering.
ABOUT MANOJ KUMAR PRASAD
Enterprise Risk, Compliance & Controls Testing leader with 20+ years of experience building, scaling and governing Enterprise Risk Management Frameworks (ERMF) and Internal Controls Frameworks (ICF) across global banks including Wells Fargo, CSC, Silicon Valley Bank, Société Générale and Credit Suisse.Recognized SME in Controls Testing, QA/QC across FLOD and SLOD, with deep expertise in control rationalization and risk-based testing optimization, enabling effective 3LOD governance and enhancing control effectiveness and regulatory compliance.Authored and enhanced ERMF and ICF (internal control framework) policies aligned to COSO and ISO standards, including multi-jurisdiction implementations, with strong expertise in Compliance (AML/CFT), Financial Crime Risk Management, regulatory remediation (FRB, FINCEN, EBA, FCA), and enterprise GRC transformation (ServiceNow, MetricStream, Resolver, RSA Archer, Enablon).Partnered with CROs, COOs and global business heads to drive enterprise-wide risk, controls and compliance transformation agendas across CIB, Commercial Banking, Consumer Banking and Wealth businesses.At Wells Fargo, led the enterprise-wide Automation & Innovation pillar, driving GenAI/ML-led enablement in control testing and monitoring (test script generation, sample validation), building on prior leadership of multi-million € Machine Learning and DataLake bases risk analytics programs (2013–15), where I served as Global Process Owner (GPO) and received enterprise-level recognition/awards; strengthening risk-based control optimization, regulatory responsiveness, and assurance effectiveness.Led large-scale enterprise control testing programs, evaluating design, and operating effectiveness across operational, compliance, financial crime and conduct risk domains, aligned with key global regulatory frameworks across EU and UK jurisdictions.Led Financial Crime Risk Management programs across AML/KYC, sanctions, Transaction Monitoring, and correspondent banking, covering CDD/EDD, PEP/UBO screening, adverse media, TM optimization, QA testing and SAR/STR processes, embedding FATF and Wolfsberg-aligned frameworks to strengthen risk detection and monitoring effectiveness.Led and scaled global GCC/CoE operating models (4x) and delivered enterprise-wide GRC transformations, enhancing control visibility, automation, and controls assurance framework effectiveness. Recognized for building high-performing teams, strengthening risk culture, and simplifying complex control environments through scalable, technology-enabled solutions.
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