KETAKI R SHROTRI

Email: adjhqc@r.postjobfree.com

Cell: 983-***-**** – C/O 2 Anchor Dr F285 in Emeryville, CA 94608

Professional Experience

1.PricewaterhouseCoopers (PwC) India, January 08, 2013 – Till Date

Current Role – Risk Management Services, Managing Regulatory and Operational Risk, Managing Archer, Process Automation, Salesforce, Testing on Staging and Production Server Conflicts of interest and governance, AML, Sanctions, KYC

Job Description:

Identify risks that are specific to PwC that may be brought about doing the assignment for certain commercial enterprises or doing certain work.

Possess good understanding of Enterprise Risk Management methodology and work as a team member in the implementation of framework for India, Bangladesh and Bhutan Region, liaise with Global Risk Management for seeking additional guidance and actively participate in the testing for new processes with Global Team, recording testing observations, providing process enhancement strategies to global team.

Manage existing, as well as helps to develop new tools and functionalities based on evolving Risk Management requirements

Provide guidance/consultations to client serving teams with various Risk Management and Independence organization policies.

Participates in and provides support for projects and initiatives to identify and mitigate operational and Regulatory risk in business activities.

Perform Data Quality review and analysis of risk assessment inputs and outputs

Ensures effective implementation of change management process for any changes in the standard operating environment.

Consults with business to develop corrective action plans and effectively manage change and process automation wherever required

Identifies training opportunities; may design/coordinate the development of training materials and delivers training.

Reports findings and drafts recommendations to mitigate risk to operational risk and business line management.

Perform RCSA risk assessments and control evaluations

Update create business continuity plans

Review the results of required risk assessments to ensure controls are working as intended. Accountable to support risk programs (IPRC, Technology, Operational Risk, Information Security, Regulatory Compliance), which includes effectively following, and adhering to and if applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions management Operational Risk Information Data Training Root Operational Compliance testing compliance Risk management Supervision Auditing Business operations

Determine whether the engagement can proceed in light of any issues identified. Facilitates and drives the process to completion by following up on requests from Quality & Risk Management Consultants and assisting the client team

Understanding of audit firm practices regarding all line of services-clients, confidential and privileged information, and the legal requirements for privacy and security of the clients. Outline the steps to be taken by client service teams to mitigate the threats

Understands key requirements of firm and regulators’ Quality & Risk Management rules and policies

Performs initial review of submissions from client teams and evaluates completeness, accuracy and appropriateness of proposed transaction/requests. Acts as a liaison between the client teams, other members of the Quality & Risk Management team, and various functional areas within the firm. Formulates answers to client questions

Responsible for preparing in-depth analysis of regulatory and operational risk data, creating sample data for testing. The associate will provide support in leading the team to complete deliverables and could be assigned additional tasks and ad-hoc requests to support various components of Cross-Business Initiatives projects. Responsible for developing, implementing and monitoring a risk-based program to identify, assess and mitigate any operational risk. Will interact closely with multiples business partners including the domestic team and other WFIP partners on projects / initiatives assigned.

Previous Job Description: PwC Assurance: Project Management, MIS, Budgeting and Analysis of audit projects, Resource planning and Management

Project Management: Analyzing project performance, creating cost benefit analysis and identifying optimal solutions that minimize the negative impact and tradeoffs, implementing corrective actions to ensure project success and facilitates project change requests. Working effectively with business partners, vendors, technology, and project management staff to develop the project agenda and ensure agreement/adoption of project objectives/deliverables by all affected constituencies.

Using Retain International: It is a leader in resource planning software, retain also provides add-ons such as a retain Skills, a talent management solution which helps identify and track employee skills so that suitable training programs can be implemented to plug any gaps.

2 Financial Planning –Freelancer – June 2010 – December 2012 –Preparing and Maintaining the client file, preparing recommendations, Implementing recommendations, Review

Job Function:

Advising and identifying appropriate investment services for clients. Demonstrating investment strategies clearly to clients, consider current and future allocation of assets for investment strategy with regard to client risk profile, confirm client risk profiling is determined

3. Hong Kong & Shanghai Banking Corporation (HSBC) - Jul’09-Sept’09

Worked as a Contract Staff at division of Financial Operations- Payment & Cash Management (PCM) & Apr’09 – Jul’09 worked as a Banking Assistant at division of Inward Remittance.

Job Function:

Maintaining records of FIRCs (Global Residents Individuals, Banks and companies) and to ensure client maintain account with branch before updating to the System, ensure completeness of documentation before obtaining approval from authorized person.

To handle the activities of Inward Remittance (SWIFT, T/T via PBOC’s Nostro) and Outward Remittance (SWIFT)

Professional Qualification:

CFPCM (Certified Financial Planner - Financial Planning Standard Board of India.

Certification in Currency Derivatives (NCFM) - National Stock Exchange.

Certification in Financial Markets (NCFM) - National Stock Exchange.

Diploma in Financial Management- Welingkar Institute of Management Studies and Research

Education:

Bachelor’s in Arts - Entire Economics including Mathematics-Statistics and Econometrics - Ramnarain Ruia College, Mumbai, University of Mumbai.

HSC- Arts, Sathaye College, Mumbai, Maharashtra State Board.

SSC, Mandated High School, Mumbai, Maharashtra State Board.

Achievements and Awards:

Received 1st and 2nd prize in inter college Economics quiz competitions.

Passed Government of Maharashtra Elementary and Intermediate Grade Drawing Examination at school level.

Personal Details:

Date of Birth: November 20

Address: Mumbai

Marital Status: Single

Languages Known: English, Marathi & Hindi.

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