Sameer Pandya

About Sameer Pandya

Sameer has well rounded and rich experience in the areas relating to Audit, Operations Control and Risk Management spanning over 20 years across Global Banking; Investment Banking Operations; Global Markets; Private Wealth Management; Retail Products and Services and Support functions. Currently, Sameer is the ‘Regulatory, Risk & Control Manager’ for the GTB Operations of the Asia Pacific, spread across 50 Ops units in 14 countries. In addition to the APAC region, Sameer has also conducted Ops risk reviews in Europe, USA, South America and UAE. Previously, Sameer has held the position of Senior Audit Manager. The responsibilites included review and validation of the \'Operating Model\' deployed for the transitioning of processes to India and the audits of the off-shored operations. Earlier, as an Audit Manager, Sameer has been responsible for the bank-wide audits in the south-east Asia. He has been on a deputation to the New York office where his work was appreciated and he was invited by the Group Audit to join its New York team. In addition, Sameer has spent close to six years in Operations and Support functions. He has successfully discharged the responsibilities of Head of Global Market Operations; Head of Finance and Head of Corporate Real Estate & Services.Sameer has experience in interfacing with the Board members and the global management of the Group. Currently, a member of the Global Risk Forum of the Global Banking & Services, Sameer also has rich experience of participation in the Operations Risk Board; Risk Review Board and Operations Committee (OpCo).Sameer has expertise in analysing processing controls and risk evaluation, quantification and mitigation. He has successfully led investigations of few internal frauds. Sameer possess high endurance and resilience and has been put in many functions in a fire-fighting mode and has successfully turned the projects around.Specialties: Risk-based Audits – Design & ImplementationRisk Evaluation, Quantification & MitigationOperations Risk ManagementOperations Control AnalysisFraud Prevention and InvestigationOff-shored Operations ManagementTransitioning (Off-shoring) Risk ManagementBusiness Continuity Management

Experience

1. Operation Controls & Risk Manager - Cash & Trade, Asia Pacific

   德意志银行

   Jun 2009 — Present

   Evaluate management controls over risks; assess monitoring controls and perform reviews to assess design effectiveness; design of processing controls and operating effectiveness of processing controls. Perform root cause analysis for risk issues and loss events; discuss with local and regional management and recommend solutions to mitigate risk on a long term basis. Monitor and track timely resolution of outstanding risk issues and perform closure validations of high risk issues. Assess staff skills and provide trainings to raise overall risk awareness. Carry out business process re-engineering, when required. Provide reliable consultancy on risk management aspects to management. Act as ‘Primary Audit Contact’ during the reviews performed by the Group Audit. Approve New Products as a Risk and Control lead.Cash & Trade Operations support a revenue base of over 250 million Euros.

Education

• Institute of Cost Accountants of India

  FICWA, Costing & Accounts

  1985 — 1989

• Delhi University

  B.Sc. (Hons), Physics

  1982 — 1985

Skills

• Operational Risk Management
• Corporate Finance
• Risk Evaluation
• Root Cause Analysis
• Banking
• Business Continuity Planning
• Risk Management
• Conflict Management
• Credit Risk
• Finance
• Mis
• Fraud Analysis
• Internal Controls
• Audit
• Capital Markets
• Operational Risk
• Auditing
• Offshore Operations
• Risk Assessment
• Investment Banking
• Business Continuity
• Internal Audit
• Derivatives
• Fraud Prevention
• Fraud Investigations
• Financial Risk
• Operational Controls
• Strategic Planning
• Fraud
• Offshore Management
• Operational Control