Yvonne Dias

Experienced professional with 14 years of expertise in data analysis, trading operations and market surveillance within the capital market/financial sector. Proven track record of overseeing projects with meticulous attention to detail, exceptional communication skills, adept decision-making under pressure, and consistently meeting deadlines. Committed to team development, achieving exceptional results, adept at independent work, and maintaining a high level of professionalism.

Colombo Stock Exchange (CSE) - Sri Lanka 2022 - 2023 (Jan)

Assistant Manager - Trading Operations and Market Surveillance (TMS)

• Monitor and administer the Trading Operations and Market Surveillance functions relating to the

Market Abuse Risks for both Equity and Debt and ensure that it is carried out efficiently and effectively.

• Monitor and guide the Trading Operations team for announcements-related issues.
• Draft internal and external investigation reports and suspected Transactions orders/trades Reports to be analyzed.
• Conduct a presentation at the end of each quarter to the Chief Executive Officer, and Chief Regulatory

Officer on identified suspected cases of Market manipulation/insider dealings/front running/pump and dump and prepare reports to be sent to the Securities and Exchange Commission of Sri Lanka

(SEC) or the relevant Broker Firm as appropriate.

• Work closely with the Head of the Division and the team to implement operational changes based on data analysis and ensure the smooth functioning of all projects undertaken by the Division.
• Compile internal notes, concept papers and board papers relating to strategic goals.
• Train the team on new procedures, systems and policies and maintaining documents of daily surveillance alerts.

Special Projects/Assignments handled

• Carried out pre-live testing on the ATS and Central Depository System (CDS) and Assist with maintaining and updating the internal surveillance programmes.
• Assisted in the Preparation of the TMS Procedure Manual.
• Carried out testing prior to implementation of key systems and products at the CSE, for example,

Internal Surveillance System testing and enhancement and Paper Gold Products.

• Assisted in the implementation of the Trade Cancellation System, Public Holding System, Director

Dealing System and the system to monitor a 5% drop in the S&P SL20 Index.

Divisional Compliance Coordinator from 2018 - 2023 (Jan)

• Identify compliance requirements applicable for the division based on the functions carried out by the division and maintain a Compliance Requirement Data Sheet (CRDS) for the division.
• Oversight of other surveillance tasks conducted by the Compliance Department.
• Continuous monitoring and updating of the CRDS, as and when necessary.
• Establish adequate controls to prevent non-compliance at the divisional level.
• Monitor the compliance status of each identified function/activity, as per the CRDS of the Division.
• Report compliance status to the Compliance division on a monthly basis, in accordance with the procedure prescribed by the Compliance division.
• Attend all Compliance meetings as required, complete mandatory training on a timely basis and facilitate compliance awareness within the division.
• Liaise with the compliance division in relation to all compliance-related matters at the divisional level.

Divisional Risk Coordinator from 2015 - 2023 (Jan)

• Assist the HOD in organising and facilitating periodic meetings, and develop and update the risk profile of the division to be reported to the Management Committee.
• Assist the HOD in compiling completed risk profiles to report to the management of the Enterprise

Risk Management (ERM) framework at the divisional level.

• Assist the HOD by Coordinating with ERM on Risk awareness and training activities at the divisional level.
• Assist in conducting divisional Business Continuity Management System (BCMS) tasks and any other risk management tasks.
• Facilitate risk training sessions for the division.
• Develop and update the risk profile of the division.
• Liaise with ERM to remain updated on recent developments in Risk Management and update ERM on risks in the division.

Senior Analyst at TMS 2016 - 2021

• Monitor and administer the Trading & Surveillance functions relating to the ATS.
• Monitor other exchange regulatory developments and new products and identify new regulations that will impact the CSE.
• Gather data with the help of the team to deliver analysis reports to the senior management.
• Conduct investigations into the suspected cases of market manipulations and prepare a report to be sent to the SEC / relevant broker firm.
• Provide user acceptance testing support for the new products in the CSE.
• Provide one-on-one professional advisory to Broker firms regarding Automated Trading System

Rules and member regulations.

Executive at TMS 2011 - 2015

• Disseminate Corporate announcements & quarterly/Audited Financial Statements received from

Listed Companies to the market in an efficient and timely manner.

• Advise listed companies and member firms regarding compliance with CSE Listing Rules, Member

Regulations & matters relating to trading.

• Follow up on non-compliance by Listed Companies with continuing listing requirements and take appropriate action.
• Update the CDS system on Dividend payments and Watch List.

National Development Bank PLC - Sri Lanka 2009 (Dec) - 2011 (Feb)

Associate - Recoveries & Collection Department

Handle the allocated client portfolio, payment processing, call, and collect the arrears within the specified time, restructure / Reschedule the existing facilities, prepare reports and forecast the repayment ability,

make sound credit decisions and confident credit professionals.

Skills International (Pvt) Ltd - Sri Lanka 2009 (Mar) - 2009 (Dec)

Account Assistant

Preparation of journal entries, assisting with the month-end management accounts close, assisting with monthly management accounts reports, preparing Cheques and handling Petty Cash promptly, preparing

Balance Reconciliation Statements, assisting with the internal audit process, and administrative work when required.

MSc Management University of Hertfordshire, UK - First Class Honours (2024).

Modules Results

Integrated Management Research Project 86%

Strategic Leadership and HR Management 73%

Using Financial Data 96%

Analytics for Operations and Logistics Management 79%

Strategic Marketing & Entrepreneurship 65%

Master of Business Administration Cardiff Metropolitan University,UK- Second Class Upper (2020)

BSc in Business Administration at University of Sri Jayewardenepura, Sri Lanka – Pass (2018)

G.C.E. (A/L) Commerce Stream at All Saints’ College, Sri Lanka – (2008)

G.C.E. (O/L) at St. Anthony’s College, Sri Lanka – (2005)

Certification

High Achiver in Integrated Management Research Project at University of Hertfordshire, UK 2024.

Academic English for Business Course at the University of Hertfordshire, UK 2023 and 2024.

Business English Certificate (BEC) - ICBT Campus Sri Lanka -Distinction 2014.

Diploma in Translation and Interpretation - University of Kelaniya Sri Lanka 2016.

Computer Course - Zonal Education Centre Sri Lanka 2006.

Foundation (Grade obtained A) and Graphics (Grade obtained B)