Naresh K

Senior Risk Management & Compliance Professional with 9+ years of experience across global financial institutions including HSBC, Invesco, and Wells Fargo, specializing in Enterprise Risk Management (ERM), Operational Risk Management, Third-Party Risk Management (TPRM), Governance, Regulatory Compliance, Internal Controls, Risk Analytics, Audit Support, and Operational Resilience. Demonstrated expertise in Risk & Control Self-Assessment (RCSA), Process Risk Assessment (PRA), Control Testing, Key Risk Indicator (KRI) Monitoring, Compliance Monitoring, Issue Management, Remediation Validation, Governance Reporting, and Executive Risk Reporting. Proven ability to strengthen risk and control frameworks, enhance governance effectiveness, improve reporting efficiency, support regulatory compliance, and deliver data-driven risk insights to senior management.

Experienced in partnering with global stakeholders across US, EMEA, and APAC regions, driving continuous improvement initiatives, supporting audit and regulatory engagements, and leveraging analytics, automation, and AI-enabled solutions to improve risk management outcomes.

Lead Risk & Compliance Analyst - HSBC

(2025-02)

Lead governance, risk oversight, compliance monitoring, and executive reporting activities supporting global business operations.

• Execute risk assessments, control reviews, governance evaluations, and compliance monitoring activities across multiple business functions.
• Develop and maintain executive dashboards, KRI/KPI reporting, governance metrics, and management information packs for senior leadership.
• Perform data quality reviews, validation testing, risk trend analysis, and control assurance activities to support risk-informed decision making.
• Partner with Compliance, Risk, Internal Audit, and Business stakeholders to strengthen risk and control frameworks.
• Support issue management, remediation tracking, governance reviews, and regulatory compliance initiatives.
• Conduct root cause analysis for operational risk events, incidents, and control failures.
• Leverage AI tools including ChatGPT, Microsoft Copilot, Gemini, Claude, and Perplexity AI to support risk analysis, governance reporting, compliance research, and process efficiency improvements.
• Improved governance reporting efficiency by approximately 30% through reporting automation and dashboard enhancements.
• Enhanced risk visibility through automated KRI/KPI reporting and executive management dashboards.
• Strengthened control monitoring through data validation, analytics, and governance reviews.
• Supported timely closure of risk issues, audit findings, and remediation actions.
• Delivered executive risk reporting supporting strategic governance and compliance decisions.

Risk Analyst - Invesco

(2023-04 - 2025-01)

• Conducted Process Risk Assessments (PRA), Operational Risk Assessments, and Risk & Control Self-Assessments (RCSA) across critical business processes.
• Performed control design reviews and control effectiveness testing to evaluate risk mitigation strategies.
• Identified control weaknesses, documented findings, and tracked remediation activities through closure.
• Monitored KRIs, emerging risks, and operational risk trends supporting proactive risk management.
• Prepared governance reports, executive dashboards, committee presentations, and management information reporting.
• Collaborated with business stakeholders to strengthen risk frameworks and operational resilience programs.
• Supported issue management, corrective action planning, risk acceptance reviews, and governance oversight.
• Assessed risks across 20+ critical business processes supporting enterprise risk management objectives.
• Completed 100+ risk assessments, RCSA reviews, and control evaluations.
• Improved governance reporting consistency and risk assessment quality across business functions.
• Enhanced management visibility through KRI reporting and executive dashboards.
• Successfully supported remediation and closure of audit observations and control deficiencies.

Senior Analyst - Wells Fargo

(2017-07 - 2023-03)

• Supported Operational Risk Management and Compliance Risk programs across Wholesale Banking operations.
• Conducted Risk & Control Self-Assessments (RCSA), Process Risk Assessments (PRA), compliance reviews, and control testing activities.
• Assessed adherence to enterprise risk frameworks, internal policies, and regulatory requirements.
• Supported internal audits, regulatory examinations, compliance reviews, and governance assessments.
• Developed executive dashboards, committee reporting packs, governance presentations, and management information reports.
• Performed root cause analysis and remediation validation for operational incidents and control failures.
• Managed issue tracking, corrective actions, remediation monitoring, and governance reporting activities.
• Collaborated with global stakeholders across Risk, Compliance, Audit, and Operations functions.
• Participated in 150+ RCSA, compliance review, and control testing engagements.
• Supported successful audit and regulatory examination outcomes through effective governance and control oversight.
• Improved issue remediation tracking and governance reporting effectiveness.
• Enhanced operational risk monitoring and executive reporting capabilities.
• Strengthened control effectiveness through risk-based reviews and continuous improvement initiatives.

LLB - Law - MSS Law College

MBA - Finance - RG Kedia College of Commerce

Bachelor of Commerce - Commerce - Badruka College of Commerce & Arts