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Aditya Birla Sun Life AMC Limited

Aditya Birla Sun Life AMC Limited

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    Aditya Birla Sun Life AMC Limited

    Keerti Gupta Chief Operations Officer

    Leadership Team

    Ms. Keerti Gupta is the Chief Operations Officer (COO) of Aditya Birla Sun Life AMC Limited (ABSLAMC). She brings with her over two decades of experience and has been with the organisation since January 2015. She is a Director at MF Utilities India Private Limited and ABSL Umbrella UCITS Funds Plc.


    She has previously worked at Gujarat Lease Finance Limited and has been associated with the Aditya Birla Group for last 25 years.


    She holds a Bachelor’s Degree in Science (Home Science) from Rajasthan Agriculture University, Bikaner and Master’s Degree in Business Administration from Maharishi Dayanand Saraswati University, Ajmer.

    Roles & Responsibilities with respect to Risk Management Roles & Responsibilities with respect to Risk Management

    SN

    Particulars

    1

    Define and delegate roles to the personnel within the operations function for identifying and reporting risks

    2

    Provide relevant information to CRO regarding the risk reports

    3

    Provide inputs to CRO to define risk threshold and risk appetite

    4

    For the relevant functional risks, identify, analyze and report the following to the CRO and CEO along with recommended action plan for:

    o   Early warning signals

    o   Emerging risks

    o   Major findings

    o   Near miss and loss events

     

    o   Fraud incidents

    5

    Monitor outliers, findings identified during periodic assessment of outsourced vendors and recommend and monitor implementation

    6

    Ensure risk levels are in accordance with the approved risk threshold and risk metric.

     

    7

    Ensure adherence with the DoP framework

    8

    Formulate, review and periodically provide inputs to update the RCSA for key risks and controls across the operational areas including Customer Servicing, Fund Accounting & Custody Operations, Trade Settlements, Mid-office Group Operations and Information Technology

    9

    Monitor risks related to the Information Technology, Unit Administration, Fund Accounting, Treasury and Settlement, Middle Office Group Operations (MOG), Customer Service and review the remediation and action plans

    10

    Perform and report outcomes of periodic testing of the RCSA to CRO

    11

    Identify and implement corrective actions / recommend action plans for deviations in the controls and present to CRO/ CEO

    12

    Ensure adherence to the guidelines pertinent to SEBI in respect of RMF and relevant principles thereunder including risk identification, risk management, risk reporting (both periodic and escalation of material incident) and corrective actions taken.

    13

    Responsible for the governance (incl. reputation and conduct risk associated for the respective function) of Risk Management framework across the Operations Functions.Responsible for the governance of Risk Management framework across the Operations Functions.

    14

    Maintaining risk level as per the risk metric

    15

    Define specific responsibilities regarding risk management of key personnel reporting to COO

    16

    Undertake immediate corrective action for non-compliance or major finding post approval from CEO as per DoP and shall report to CRO regarding the risk reports.

    17

    Perform adequate due diligence of outsourced vendors prior to onboarding

    18

    For the relevant functional risks, ensure periodic assessment of outsourced vendors considering following elements:

    • o    Review of vendors' systems and processes

    • o    Monitoring of error tolerance and issues noted in vendor’s code of conduct and monitoring breaches

    • o    Monitor fraud vulnerabilities in the outsourced processes