Anupam Narula

Manage Non Financial risk for the business by Develop key relationships across the business, both regionally, and Globally, Country Wholesale Control offices and functional areas Legal, Regulatory Compliance, Financial crime, Resilience/ cyber/Third party. Ensuring a clear understanding of material Operational/Non Financial risk and control Performance of quality assurance activities within the team, across a number of the key business owned controls. Cultivate strict compliance and operational risk culture throughout business. Prepare and assist internal, external and regulatory audits. Ensure effectiveness of Operational/Non Financial Risk frameworks throughout the region via robust Risk Control Assessments, operational processes and internal controls including effective management and responsibility for application and scoping of global generic Risk and Control Assessments. Ensure full control monitoring is in place and that they are robust and fit for purpose. Review and facilitate read across of issues/ events locally and from other group offices related to business to ensure similar situation does not arise in Canada. Coordinate quarterly policy and procedure changes and read across from Audit to ensure team are in compliance with the updated requirements in accordance with the documented timelines. Act as Business Information Risk Officer and Third Party Risk Officer and manage the Information security and Third party risks for the business. Work closely with second line of Defense Risk stewards to close the Risk Controls Assessments and Review and challenge process.

•Leading Governance Team which runs Financial crime risk and Operational risk quality assurance processes. •Develop dashboard to communicate the issues identified from quality assurance processes to Management with remediation plans. •Collaborate with stakeholders like Operational Heads, Compliance, Legal and Risk Management to identify and assess the key risk indicators. •Provide training and coaching sessions on Financial Crime Risk Management to employees of Global Trade and Receivable Finance, North American region. •Key point of contact for Internal and External Audit. •Lead, or support another Lead in, ad-hoc projects supporting operational and regulatory needs of the Global Trade and Receivable Finance.

While reporting to VP, my responsibilities were include: •Leading a 4- member team of Trade Department of Bank’s Canada Branch. •Overall operational risk management while ensuring strict compliance of Bank’s internal control and regulatory requirements/ICC rules, sanctions etc. and monitoring of Team’s daily reports and Work flow process. •Supervision of end to end process for Issuance of Standby Letters of Credit, Guarantees and Import Letters of Credit. •Booking/managing Risk Participations under Loan Syndications. •Negotiating with stakeholders, global partners as well clients for smooth and effective execution of day to day operation. •MIS reports to Senior Management related to Trade Finance Capacity Planning, Trade Finance Revenue. •Active participation in ongoing projects such as Implementation of revised SWIFT system set-up and Implementation of a New Filter being set for OFAC checking. •Coaching and mentoring staff/team members.

•Supervision of a 4- member team. •Second level checking of documents related transactions such as imports, payments and SWIFTS, etc. •Provide advice/service to customers by handling their enquiries regarding import transactions/documentation; monitor risk mitigation; ensure the transactions are within the clients’ approved limits. •Support Manager Trade Finance on day to day business.

•Establishment of Back to Back Letters of Credit and Negotiations, Transfer of Export Letters of Credit and Negotiations. •Directly involved in handling Customer queries and procedure establishment for all functional tasks in Structured Trade Finance Team. •Reconciliation of Nostro Accounts and Correspondence with Banks.