Ashu Esmail-Sadruddin serves as Vice President of Broker Dealer & Swap Dealer Operations Risk Management at SunTrust, now part of Truist, where he leverages his extensive experience in operations management and internal controls to enhance the financial services landscape. With a robust background in risk...
Ashu Esmail-Sadruddin serves as Vice President of Broker Dealer & Swap Dealer Operations Risk Management at SunTrust, now part of Truist, where he leverages his extensive experience in operations management and internal controls to enhance the financial services landscape. With a robust background in risk assessment and strategic planning, Ashu plays a pivotal role in supporting both Broker Dealer Operations and Swap Dealer Operations. His expertise is particularly evident in his contributions to Business Change Risk Assessments, where he identifies potential risks and facilitates the development of effective remediation plans to ensure compliance and operational efficiency.
A key project under Ashu’s leadership has been his participation in the pilot for the Risk and Control Self Assessment (RCSA) implementation, which aims to strengthen the organization’s risk management framework. His involvement in this initiative underscores his commitment to fostering a culture of proactive risk management and continuous improvement. Additionally, Ashu has been instrumental in enhancing the End User Computing policy and procedures, ensuring that the organization adheres to best practices while empowering employees to leverage technology effectively.
Ashu’s proficiency in tools such as Microsoft Visio and SQL DB2, combined with his analytical skills in data analysis and financial analysis, allows him to navigate complex operational challenges with ease. His strong foundation in SOX control development and testing further solidifies his role as a trusted advisor in internal audit and compliance matters. With an MBA from a prestigious university, Ashu continues to drive strategic initiatives that align with Truist's vision, making significant contributions to the overall success of the organization.
