Sign in

Management Risk

Roslyn Heights, New York, 11577, United States
February 16, 2018

Contact this candidate


Sanket H. Joshi

** *** ****** ****** *******, New York 11577 917-***-****

Director Profile

Globally-oriented strategic leader talented at managing global risk management operations


Senior Director/Risk Management Executive with 10+ years of experience partnering with Legal, Human Resources, Business Executives to:

develop and implement Risk Management policies and operations (e.g., Global Code of Conduct, Conflicts of Interest, OFAC, AICPA & IESBA Professional Standards, Ethics Hotline, Data Privacy & Confidentiality)

execute Risk Management strategies

manage and oversee finances

monitor and assess regulatory development/impact (i.e., AICPA/IFAC, SEC/PCAOB)

Implement workflow systems/tools

oversee compliance

lead transformational initiatives

devise operational matrices

inculcate client/customer focus

Partnered with US and Global Executives at one of the global, Big 4 Consulting firms (Ernst & Young LLP) regarding risk management operations supporting firm’s Audit/Assurance, Advisory/Consultancy (Fraud Investigations & Dispute Services – FIDS), Transaction Advisory Services (TAS), and Tax practices

Led global and regional teams responsible for facilitating resolution of organizational and personal conflicts of interest matters by:

evaluating 115,000+ new business opportunities

examining new business relationships requests involving products/services providers, sponsorships of events/conferences

confirming compliance with Global Code of Conduct

conducting due diligence involving professionals serving as board of directors or officers of non-for-profit organizations

Partnered with Legal, Human Resources and Ethics Oversight Board (EOB) to establish escalation protocol for expeditious resolution of personal and organizational ethics matters

Liaised with Risk Management Counsel to stay current on Ethics, Compliance and Risk Management matters (e.g., OFAC, AICPA/IESBA Professional Standards, EU regulations, Data Privacy & Confidentiality) along with matters relevant to clients, stakeholders and firm

Develop Global Consultation Network to assist with risk management queries, data requests along with policy development and process implementation

Facilitated Internal Audit (IA) to assess effectiveness and policy compliance, issues identification/resolution and support models and prepared response to findings

Guided teams overseeing external regulatory inspections, data requests and participated in drafting responses

Conducted Global Risk Management Quality Review to address gaps/misses prior to formal audit or inspections

Oversaw recruitment, performance and compensation of geographically dispersed, 15+ resources with varying ranks and designations (Key areas: Argentina, Australia, Belgium, China/Hong Kong, Germany, India, Philippines, Poland, Singapore, UK and US)

Developed and executed risk management awareness strategy by establishing onshore/offshore Center of Excellence, instituted solid and dotted line reporting structures, and managed Ethics and Risk Management awareness programs by partnering with cross-functional business units (e.g., Brand, Marketing & Communications, Finance, IT, HR, Legal, Office Services, Procurement, Business Operations)

Partnered with Technology leaders relating to tools/systems to assist with electronic records along with deployment of new products/services managing various Ethics, Risk Management & Compliance programs

Presented findings and proposed recommendations to Senior Executives, Partners and Board Members through monthly connect calls and annual conference

Served as Senior Director to explore external vendors and suppliers (e.g., OpenText, Metastorm, Dun & Bradstreet, Accuity, World-Check, Global WatchList, Elite) relating to digital workflow systems and data management applications

Conducted training sessions with leadership team and professionals relating to policies and risk management considerations

Attended conferences/seminars to stay current on recent developments relating to Ethics, Conflicts of Interest, Compliance, Risk Management and data privacy and confidentiality operations

Administered benchmarking studies, KPIs, deep dive process initiatives and efficiency-related surveys

Partnered with Communications teams to bring risk management awareness through web-based learning (WeBL), Town halls, audio/visual presentations, video vignettes and training forums

Assisted non-US Regions implement locally mandated risk management policies and establish supporting processes

Led operational enhancement initiatives, including “Reduce Administrative Burden”, “Step Change” and “One-Stop Concierge Services”

Career Summary

Ernst & Young LLP, New York, NY

Provided executive-level leadership of risk management functions to ensure compliance with internal policy directive and external regulatory requirements

DIRECTOR (June 2006 to August 2017)

Managed team of professionals tasked with handling risk management operations from initial audit request and response through all client interactions, project plans and programs. Oversaw timelines, logistics, and objectives relating to implementation of risk management practice support/administrative initiatives. Managed and presented budget to business unit executive leadership. Conducted quality reviews; developed and delivered reports. Liaised with global partners and practice groups to identify areas of improvement and consolidation; developed comprehensive, organization-wide risk management operational models and implemented across international company locations to centralize and standardize processes. Managed technology resources, tools, databases, and applications

Contributed to successful partnerships while leading special engagements improving overall risk management operation

Adeptly trained and mentored staff members on policies (i.e., AICPA, EU regulations, IESBA, OFAC, SEC/PCAOB) and processes while serving as a key leader of the Americas and Global Risk Management Counsel

Coordinated with business unit and stakeholders including the General Counsel's Office and Global Risk Management Executives and represented Americas Area in the Global Risk Management Executive

Oversaw development of Global Talent Hubs, Shared Services Centers and Global Innovation Center to facilitated expeditious identification and resolution of risk management matters (e.g., Conflicts of Interest, information barriers, separation of teams)

Education & Credentials

Certificate of Completion - Harvard Leadership Program, Harvard Business School, New York, NY

(A collaborative leadership development program between Ernst & Young and Harvard Business School cultivating high performing leaders to execute organizational strategy, develop global acumen and bring about operational excellence.)

Bachelor of Arts - Queens College of the City University of New York, Flushing, NY

Technologies: MS Office (Word, Excel, PowerPoint, Visio), Dun & Bradstreet (Family Tree Finder & Company Reports), Lexis Nexis, Legalkey, Westlaw, CMS, Elite, Hoovers, CapitalIQ, CRM

Contact this candidate