Namrta Rawat

• Heading the Regulatory Compliance & Policy affairs for APAC region by helping Fenergo’s client community (50 plus banks, hedge funds & financial institutions) meet compliance obligations by regulators such as MAS, SEC, CFTC, FCA, ASIC, HKMA etc.
• Responsible for content in product with respect to Regulatory requirements ( AML/CFT, ESG, Derivatives Reforms, Data Privacy etc.) for new and existing regulations
• Analyze different ESG rating methodologies, build ESG disclosure requirements and framework in Fenergo CLM solution
• Horizon scan & track developments in sustainable environmental and social trends, including current and emerging thematic drivers, key players, best practices and the regulatory landscape, etc;
• Provide regulatory compliance & reporting advice with regards to interpretations and obligations for ongoing and upcoming regulations to Fenergo's client community
• Deliver regulatory road map and releases within Fenergo product and host working groups with clients to bridge regulatory gaps
• Liaison with regulatory forums and authorities to create eminence for Fenergo's Regulatory Compliance team
• Provide thought leadership & marketing content such as white papers & podcasts for evolving regulatory landscape
• Engage with Sales, Pre-Sales, Marketing and Public Relations teams to support new and existing client engagements and industry initiatives for Regulatory compliance
• Develop & deliver local compliance education program

Project Management:

• End to end project management - Successfully lead complex global projects with 15 to 20 professionals, through the entire project life cycle including internal risk assessment (independence & conflict checks), planning, managing project schedules, engagement life-cycle management, identify risks, report findings and closing gaps with project stakeholder
• Targeted sales and business development - Accounted revenue for approximately S$ 0.2 million by winning clients from financial services industry to provide Regulatory
• Reporting, Extended Enterprise Risk Management (EERM) and IT Audit services by understanding requirements highlighted in RFP, focusing on scope, approach, proposed methodology, tools, time lines, budgets

Regulatory Reporting, Data Governance & Compliance Framework (IFRS9 & MAS610/1003):

• Advised key financial institutions on end-to-end data management, regulatory reporting, compliance and optimization of risk transformation programs
• Designed regulatory reporting framework by identifying key data elements, data mapping, data sourcing and reporting requirements and staff allocation
• Investigated queries from regulators such as MAS, external & internal auditors and interpret legislation/regulatory guidelines to comply with regulatory norms
• Impact analysis regarding evolving regulatory changes and notices issued by regulators and update clients and stakeholders for same
• Data quality review & testing to ensure logical, and business validation rules are followed for regulatory reporting
• Manage inter dependencies between key business functions of the clients and communicate requirements for regulatory reporting & compliance

IT Audit, Third Party Assurance Reporting:

• Managed 15 plus Internal & IT audit engagements including audit planning, control evaluations, fieldwork, report drafting, agree on remedial action plans with key stakeholders, communicate findings, follow up and verify issue closure
• Achieved 30 % cost reduction for clients by designing IT compliance & testing framework to leverage synergies among various standards such as PCI DSS, ISO 27000 series & COSO and build process efficiency
• Completed over 20 third party attestation-reporting engagements for - SSAE 18, SOC I, SOC II, SOC III, ISAE 3402 reviews

• Designed and implemented operational risk management programs such as risk taxonomy, risk appetite, risk data recording, collection, analysis and reporting process, Risk Control Self-Assessment (RCSA) etc
• Provided recommendations to clients’ for regulatory compliance requirements and a mechanism to address internal identified risks (self-identified, audit or regulatory identified risks)
• Provided C-suite and Board of Directors with operational risk intelligence and reporting through cognitive operational risks visualizations (dashboards, scorecards, heat maps, etc.) and highlight top strategy and concentration risks or hash reports on critical vulnerabilities
• Analyzed & reported GRI G4 sustainability criteria for financial institutions to meet sustainability obligations
• Managed and executed projects related to - Internal audit & controls testing, IT audits, SSAE 18 reporting,ISO 27001 & PCI DSS for clients across US & EMEIA

• In Quality & Risk Management, reviewed audit client’s financial statements and fillings to ensure that all the engagements are proscribed in the most appropriate manner and service restrictions are in harmony with regulations under Sarbanes - Oxley Act, the Volcker Rule, Dodd-Frank Act and SEC Investment Company Complex requirements
• Reviewed analysis provided by staff to audit teams in order to comply with EY’s independence policies
• Research and analysis of perspective client’s company profile, investments, historic data, fillings with SEC to validate regulatory compliance.