Sandeep Kumar Walthati
Head of Compliance Strategic Change & Transformation at UBS
- Role
- Executive Director at 瑞銀環球資產管理
- Location
- New Providence, NJ, US
- LinkedIn followers
- 500 followers
About Sandeep Kumar Walthati
Financial services industry expert with more than 20+ years of experience in Non-Financial Risk Management and Transformation. Deep understanding of in-business controls, processes, and procedures required to effectively manage Compliance, BSA/AML, and Operational risk across Wealth Management, Investment Banking, and Asset Management. Successfully worked with domestic and foreign financial institutions in implementing controls and frameworks within 1st and 2nd LoD for end-to-end management of risk. Established and leading a high performing team at UBS that is focused on implementing strategic changes to risk management and overseeing remediation efforts to meet regulatory commitments. Key Skills: Compliance Risk Management Framework, Operational Risk Framework, BSA/AML Risk Management Framework, Periodic Client Reviews, Transaction Monitoring, Independent Testing, Investigations, Controls Assessments, Risk Assessments, Risk Taxonomies, Senior Management Reporting, Interaction with Regulators, Budgeting and Planning, Project and Program Management Skills, Knowledge of applicable laws, rules, regulations large financial institutions (LFIs), Critical-Thinking, Business Analysis, and Process Engineering
Experience
Executive Director
Apr 2018 — Present · New York, NY, US
Education
MIT Professional Education
Digital Transformation: From AI and IoT to Cloud, Blockchain and Cybersecurity, Information Technology
Skills
- Banking
- Risk Management
- Team Management
- Portfolio Management
- Competitive Analysis
- Organizational Effectiveness
- Software Development Life Cycle (Sdlc)
- Process Consulting
- Data Governance
- Strategic Planning
- Business Process Improvement
- Transaction Processing
- Asset Management
- Analytics
- Business Strategy
- Project Management Office (Pmo)
- Business Analysis
- Financial Modeling
- Operational Excellence
- IT Strategy
- Leadership
- Project Management
- Program Management
- IT Operations
- Anti Money Laundering
- Market Entry
- Business Development
- Management
- Management Consulting
- Strategy
- Financial Services
- Dodd-Frank
- Finance
- Transaction Advisory Services
- Analytical Skills
- Financial Analysis
- Consulting
- Requirements Analysis
- Problem Solving
- Operations Management
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