Diana Braz

•Designing and executing the internal control plan/framework based on risk mapping, regulations and leading the annual control plan review •Implementing audit recommendations for all the processes with proactive actions •Responsible for all second Line of Defence (LoD) requests by working closely with France, Belgium and Netherland branches •Identifying, assessing, reviewing and reporting operational risks, events, losses •Participating in the yearly self-assessment of Internal Control System (ICS)

• Collaborated with Mumbai & London teams to ensure compliance with BaFin & MiFID regulations & control of the outsourced processes • Ensured compliance with regulatory requirements and internal policies related to offshore operations

• Spearheaded the identification of business opportunities and led expansion initiatives. • Cultivated strong vendor relationships and ensured high levels of customer satisfaction. • Oversaw daily operations to ensure smooth workflow and timely product delivery. • Motivated and managed a team of 6 employees, fostering a positive and productive work environment. • Recruited, retained, and managed talent, effectively handling employee relations.

• Designed and implemented internal control frameworks, policies, and procedures to ensure compliance with regulatory requirements and industry standards. • Documented audit findings, observations, and recommendations, and communicated results to management. • Collaborated with departmental managers and process owners to address control deficiencies and implement corrective actions.

• Developed comprehensive migration strategies and overseen the execution from New York to Mumbai • Managed project timelines, budgets, and resources. • Led and mentored a team of migration specialists with training and support. • Maintained clear and consistent communication with all stakeholders, including IT, operations, and business units. • Prepared and presented regular status reports to senior management. • Conducted post-migration reviews to identify areas for improvement.

• Assisted in implementing internal control systems to ensure operational efficiency and compliance. • Identified potential risks in operational processes and helped develop strategies to mitigate them. • Ensured that all operations comply with internal policies and external regulatory requirements. • Worked closely with various departments to ensure integrated control practices across the organization.