Siddhesh Sagar

Dedicated & detailed professional with over 9 years of experience across Operational Risk, Anti Money Laundering (AML), and KYC operations within investment banking. Proven track record in risk and control functions, stakeholder management, and cross-functional collaboration. I am seeking to leverage my expertise to contribute meaningfully in a dynamic investment banking environment, while continuing to grow through exposure to broader business functions and strategic initiatives.

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

Bachelor of Management Studies in Management Studies – Mumbai University (2010 – 2012)

H.S.C. – Maharashtra Board (2009 – 2009)

S.S.C. – Maharashtra Board (2007 – 2007)