Jasmeet Singh Bagga

WORK HISTORY

EDUCATION

ABOUT JASMEET SINGH BAGGA

Jasmeet Singh BaggaRegulatory Compliance | Operational Risk | Controls TestingResults-driven compliance and risk professional with 7+ years of experience in financial services, specializing in risk mitigation, compliance monitoring, and internal control assessments. Strong knowledge of audit methodologies, regulatory compliance, and quality assurance, with expertise in enhancing governance frameworks and risk management strategies.Currently pursuing the Certified Internal Auditor (CIA) certification, reinforcing expertise in risk-based auditing, internal control evaluations, and compliance assurance. Adept at conducting risk assessments, control testing, and regulatory compliance reviews to ensure adherence to global regulations, including MAS, SGX, ASIC, FCA, HKMA, and SFC.Core Competencies: Operational Risk & Control Testing – Conducting second-line control assessments, risk event analysis, and compliance testing to strengthen control effectiveness. Regulatory Compliance Management – Managing employee licensing, registration, and regulatory audits to ensure 100% compliance with evolving requirements. Audit Readiness & Risk Incident Management – Identifying compliance breaches, implementing corrective actions, and preparing audit-ready reports. Audit Methodologies & Quality Assurance – Expertise in audit planning, gap analysis, and process evaluations to align controls with internal audit standards. Process Improvement & Automation – Optimizing compliance workflows using Alteryx, Tableau, and Excel Macros, enhancing reporting efficiency. Stakeholder Engagement – Collaborating with leadership, internal audit, and risk teams to drive a strong risk culture and governance improvements.Key Achievements: Automated and optimized employee registration and licensing updates at JPMorgan Chase, reducing processing time by 20%. Trained and onboarded 10+ employees, increasing team productivity and reducing error rates by 50%. Led the migration of SFC license fees invoicing at Credit Suisse, reducing payment release time by 50%. Developed an Excel macro to automate mass alerts for 450+ users at UBS, streamlining communication and reducing manual workload.Proven success in mitigating operational risks, improving compliance oversight, and aligning risk management with internal audit best practices in global financial institutions.