Open to opportunities

Swati Gaur

@swatigaur

Message

I lead third-party risk assessments and IT governance for global financial institutions.

India

Message

What I'm looking for

I'm looking for opportunities to lead third-party risk, IT compliance, and governance programs, strengthen vendor control environments, and partner with stakeholders on practical remediation and regulatory readiness.

At SMBC, I lead IT compliance assessments, third-party audits, executive risk reporting, and vendor control effectiveness under ISO/IEC 27001. I achieved an ISO 27001 audit with NIL observations and strengthened TPRM alignment with organizational strategy and regulatory requirements.

Previously at Ameriprise Financials, I led end-to-end risk assessments for 50+ critical vendors, using RSA Archer for onboarding, risk ratings, control evaluation, remediation, and governance reporting. I also coordinated SOC audits for mergers and acquisitions and was recognized with a Platinum Award for TPRM excellence.

My foundation in technology risk comes from EY and DXC Technology, where I conducted SOX, ITGC, SOC, ISMS, and information security risk assessments. I'm an ISO 27001:2022 certified Lead Auditor and Lead Implementor focused on practical risk mitigation and audit-ready governance.

Experience

Work history, roles, and key accomplishments

Current

Assistant Vice President — TPRM & IT Risk

Current

SMBC

Feb 2024 - Present (2 years 6 months)

Lead IT compliance assessments and coordinated third-party audits, improving control maturity and reducing organizational risk exposure across vendor ecosystem. Facilitate executive-level reporting of IT risk metrics and vendor risk dashboards for senior leadership.

TPRM Vendor Risk Management ISO 27001 IT Risk Governance RSA Archer Compliance