L2-Associate, Risk and Regulatory Compliance - HTC Global Services
(2022-02 - 2024-01)
Worked for BNY Mellon under UMR Phase-6 project. Managing a contractor lifecycle which included on-boarding, off-boarding and maintenance of clients and associated contacts.
- Performing regulatory checks
- Verifying if all the (required) documents are in place and depicts true picture of contract in the form of "request no."
- Performing Global Opening of Accounts and thus carrying out the maintenance work on the account (or request no.) and associated static data
- Ensuring clients requests are responded timely and efficiently
- Maintaining ad-hoc reports further customized as per client requirements
Senior Analyst, Document risks review - eClerx Services Limited
(2014-12 - 2017-07)
Auditor. Process: Doc Risk Review- Interest Rates Swaps (IRS). Managing and Reconciliation of IRS Trades with the systems on a daily basis. Also, researching and identifying the causes of breaks on the trades (considering ISDA confirmations as a base).
- The Breaks in the trades are then escalated to the client, on which client provides resolutions which involve certain amendments either on the confirmation or the system
- Managing training activities for new joiners'
- Effective communication on all work undertaken within the team, addressing concerns & supporting information at all levels
- Preparation of reports like Daily and Weekly Business review which contains the matrices, achievements, challenges, initiatives and resource utilization
- Maintaining ad-hoc reports further customized as per client requirements
- Reconciliation of various Equity OTC- derivatives products like accumulators, deccumlators, securitization and European options
- Data fetching of products to identify the volumes on a daily basis and accordingly prioritizing the available volumes
- Identify if the available population is reviewable or non-reviewable according to the client approved set of rules & conditions
- Daily Communicating with clients regarding any discrepancy and chasing them until resolutions are received
- Reconciliation of trades on daily basis between trade capture system (T2 and Tx system), ISDA confirmations and term sheet (3-Way)
- Escalating and de-escalating breaks and updating it on client's SharePoint
- Chase with client for resolutions on escalated breaks and then act accordingly to the resolution received
- Ensuring clients SLAs are daily delivered
- Preparing daily reports and handling client calls
- Awarded spot reward thrice for playing an active member of team in daily client communication and meeting client requirements also being a consistent performer in achieving daily targets
- Have been a recipient of Critical Competency Award
- Successfully Delivered training to new recruits and assisted them in bridging the gap
Senior-One Officer, Privilege banking services - ICICI Bank Limited
(2012-06 - 2014-09)
Customer service associate and service advisor. Process: Gold and privilege banking services.
- Identify customer needs and refer them to appropriate banking services and specialists
- Accept requests to open FDs/RDS on behalf of customers, to send the statements of A/c transaction details and TDS certificate, sending personalized Debit Cards and Cheque Books
- Process the request of DDs/POs, Credit Card payment, reversal of erroneous charges
- Handling escalations and net banking queries
- Have been a recipient of Star Performer Awards owing to my exceptional performance in assisting customers with mobile and internet banking activation
