Senior Associate at BNP Paribas India Solutions Pvt Ltd (2019-12 – 2021-12)
Operational Risk Specialist
- Perform controls on core Operations silos on the downstream systems periodically
- Responsible for the documentation, measurement, analysis, and mitigation of operational risk
- Raise observations when found any and provide advice to business heads
- Prepare error/incident reports for each event
- Implement controls on new systems & work on amending the existing controls for the core Operations processes
- Liaise with Senior Management to discuss issues and deadline for task completion
- 360 degree overview of each event/ incident, i.e. continue to oversee the control functionality post closure of the event
- Create & maintain Dashboard of all events / incident in a structured format
Senior Analyst at NOMURA SERVICES INDIA PVT LTD (2015-09 – 2019-11)
Anti- Money Laundering/ KYC- Periodic review team
- Performing Periodic Reviews on all the existing clients of Nomura with meeting the requirement suggested by Regulators
- Liaising with Sales team on daily basis for requirements to perform the review and complete the KYC requirement to smoothen the trading relationship with the client
- Performing EDD Enhanced Due Diligence of the relevant entities which are in scope for Review
- Liaising with the Compliance team (Financial Crime Team) for various sign offs/ sanctions requirements and treat adverse or financial crime information as per procedure on a daily basis
Analyst at NOMURA SERVICES INDIA PVT LTD (2012-11 – 2015-09)
Client Data Management Team
- Working on Low, Medium, High and High Focus Clients based on defined Risk level as per the client identification process
- Identifying PEPs , source of wealth for HNIs while performing necessary checks and screenings on them
- Handling of live request which is received from swift networks, client side, legal teams and member information sheets
- Maintaining trade related system updates and setups
- Reconciliation reports for upstream and downstream application management
- Data management for company policies and regulatory requirements
- Assistance in critical projects of settlement agents, currency migrations, client agent changes and various system cleanup projects
- Handling information requirements for Asian and EMEA region counterparts
- Assisting in building company's BCBS requirements
- Using advance technology for linking Trading accounts with Front Office systems for trading purpose like Totoro, Global1, GMI, Euclid, Spear, Prime Brokerage
- Adding Standard Settlement Instructions on Trading accounts after client confirmation over the Phone call
- Performing relevant checks with the help of systematic tools and ensuring the client is off boarded with the necessary approvals and checks
- Seeking Approval from Sales Team and appropriate Business team before off boarding any entity in internal systems such as SAP, SMS Revenue check, and Data Management systems
- Raising closure template after seeking all approvals from Business, Sales and sending it to the Data team for off boarding
- Ensuring that all the appropriate documents are uploaded in CACE as evidence before closing the entity
