SUMMARY

• Proactive financial professional with 8+ years of experience in CIB Operations, client management - static & reference data, IBOR transition, fixed income regulatory support & controls, credit ratings and analysis. Graduated in Master of Business Administration with a major in Financial Mathematics from Confidential .
• Finance professional with 8+ years of professional experience in big 4 consulting, large sized investment banks specializing in corporate institutional & global markets operations.
• Worked across Capital Market Business Management in front office, Fixed Income Regulatory Reporting MIFID II in middle office, and US Capital Market Static & Reference data in back office with large sized investment banks.
• Managed projects for IBOR transition, Growth program for global markets, MIFID II regulatory reporting, OFAC screening, Static and Reference data process migration and other reconciliation projects.
• Worked closely with capital markets fixed income desk, loan team, bankers, investment counselors, and legal, compliance, and risk teams.
• Overall worked in capacity of a project manager, individual contributor, and a team player.
• As a senior business consultant with Big 4, managed large sized bank projects, prioritized stakeholder demand, ensuring successful deliverables.
• Worked on IBOR transition, performed ground up scoping of clients and derivatives contracts falling in scope for USD LIBOR transition. SPOC for USD LIBOR Transition for Capital Markets. Maintained records of exception approvals in a systematic order, to be presented and used for internal and external audit purposes.
• Sourced remediation contact preference from HNI and UHNWI, ensuring appropriate ISDA is in place.
• Follow up with ISDA team and work in partnership to validate the appropriate signing authorities with valid and latest documents are in place safely stored in our system.
• Developed transition tracker in MS Excel to track transition progress of derivatives, clearly defining and labelling respective stage of individual level contracts of the transition lifecycle.
• Based on the requirement and nature of the Bank, the table was primarily segregated for Region, Product Type, and Different stages of Remediation.
• Managed and tracked IBOR Transition of loan contracts, grouping them into respective buckets and breakdown - Department, Contracts to be Remediated, Remaining transactions, Not Started, Negotiations Begun, Remediation Approach Agreed, Contains Hardwired Fallback Language and No Further Operational Action Required.
• The above buckets would be broken down into two different tables, 1st table for Agented / Bilateral, and 2nd table for Syndicated contracts.
• Supported Growth Program, Consolidated Audit Trail Program, and IBOR Transition with developing presentations for the monthly Working Group and Steering Group meetings.
• Developed and shared bi-weekly IBOR newsletters with latest developments in the industry.
• Explain the possible impact of latest developments on contract remediation and escalate to the senior management accordingly.
• Teamed up with Manager, Senior Manager and Partner to develop presentation to show Budget allocation in Technology front at present and next 2 years until 2024 to be presented during Federal Reserve Board Examination
• Mapped each line of businesses across technology front in the bank with the allocated budget for FY 2022, 2023 and 2024 against the existing Plan of Action to meet deadlines.

TECHNICAL SKILLS

Proficient Skills: MS Excel, MS PowerPoint, MS Word.

Systems used: Velocity, Athena, Grace, Atlas, Martini, Broad ridge ICI Impact, Calypso PB, Fidessa, Trade boss, Kondor+, OMR, UBIX, Loan Trak, Loan IQ & Murex.

PROFESSIONAL EXPERIENCE

Confidential - New York, NY

Project Manager

Responsibilities:

• The above buckets would be broken down into two different tables, 1st table for Agented / Bilateral contracts containing actual contracts to be remediated, and 2nd table for Syndicated contracts for which remediation relies on external parties.
• Teamed up with Manager, Senior Manager and Partner to develop presentation to show Budget allocation in Technology front for current and forecasted tenors presented during Federal Reserve Board Examination
• Mapped each line of business across technology front in the bank with the allocated budget for FY 2022, 2023 and 2024 against the existing Plan of Action to meet deadlines.
• Developed and shared bi-weekly IBOR newsletters with latest developments in the industry.
• Explain the possible impact of latest developments on contract remediation and escalate to the senior management accordingly.
• Conducted weekly meetings with stakeholders to provide project oversight, raise concerning points if any and measure tasks status against projected completion date.
• Broke down complex topics, issues, scenarios to help client understand the IBOR, risk free rate and impacts on the existing contracts.
• Supported Growth Program, Consolidated Audit Trail Program, and IBOR Transition with developing presentations for the monthly Working Group and Steering Group meetings.
• Part of setting up control tower for Consolidated Audit Trail Program.
• Consolidated existing reporting’s under control tower, to be distributed on a weekly basis as one main high-level reporting to Senior Management.
• Recognized 2 times with Bravo award for exemplary execution with 2 large sized banking clients

Environment: MS Excel, MS PowerPoint, MS Word, MS Outlook, Data sourcing, Data analysis, Client Presentation, Project Planning, Risk Assessment, Logic Development, Project Status Tracking, Teamwork, Collaboration, Understanding the bigger picture, Challenging the status quo, Federal Reserve Board Examination, Escalation.

Confidential, New York, NY

Project Manager

Responsibilities:

• For contracts classified as in-scope, collaborated with centrally located risk team to further verify the accuracy of the identified population.
• Conduct daily touch point calls with the Central Libor Project team based in London, to clearly define tasks and plan of action for the week and provide clarity of direction.
• Sourced remediation contact preference from options of email, DocuSign or postal for HNI and UHNWI. Ensured having appropriate ISDA contract for each of the transactions and clients.
• Developed dashboard to track responses received from the clients, provided regular update and feedback to the management on the progress of data sourcing.
• Partnered with dedicated ISDA team to validate we have appropriate documents for authorized signatories along with clearly defined rules of - individual, joint individuals, entity, corporation, and trust.
• Followed up with ISDA team to draft a customized ISDA document, get it validated and signed off from the legal team.
• Worked closely with external teams from Factor to code the ISDA template with a pre-approved format.
• Conducted rigorous test runs on ISDA contracts using email and DocuSign, prior to the final client outreach.
• Developed transition Dashboard in MS Excel to track transition progress of derivatives, clearly defining and labelling respective stage of individual level contracts of the transition lifecycle.
• Based on the requirement and nature of the Bank, the table was primarily segregated for Region, Product Type, and Different stages of Remediation.
• Coordinated with Capital markets desk, Loans Team, Bankers, Legal and Operation teams on the remediation approach.
• Collaborated with external teams from PWC to bridge the process between capital markets and loans team, Factor for code the ISDA contracts and to setup an automated system to send out the documents along with tracking and A&O for external council legal oversight during the transition process.
• Facilitated in routines with Capital Markets Desk, Investment Counselors and Bankers to provide insights on the remediation plan and project status.
• Facilitated Markets Direct Access meetings, where case history for potential UHNWI is introduced in the meeting headed by respective Heads of the department and reviewed for induction with the private bank.
• Assisted the Director with MDA meetings monthly, drafted minutes of the meeting, conducted voting sessions where required, completed respective signoffs, and shared with the stakeholders. Documents stored in the system for audit and future reference purposes.
• Developed slides for MDA deck with the Gross Market Value and Unrealized cost month on month basis for UNHWI’s.

Environment: MS Excel, MS PowerPoint, MS Word, MS Outlook, Velocity (Internal Data Portal), Project Planning, Data sourcing, Data analysis, Contract Scoping, Stakeholder Presentation, Risk Assessment, Logic Development, Teamwork, Collaboration, Global Coordination, Challenging the status quo, Leveraging best practices, UAT, Timely Escalation.

Confidential

Lead Business Analyst

Responsibilities:

• Engaged with trading & sales desks, further collaborated with compliance, middle office, and technology teams to identify, and document root cause analysis, worked with business partners to implement resolution.
• Migrated the process over call & during handling of process maintained a constant of underreporting% below 1% for RTS 27 over a period of one year - and received appreciation from Project Manager for the same.
• Managed handover of trades from UAT to Production environment for Go-Live of MIFIDII.
• Built completeness & accuracy reports in an attribute-by-attribute basis thereby streamlining the process with daily publication of report to the stakeholders.
• Provided Business requirement document to the dedicated Business Analyst and collaborated to develop automated daily completeness report using Qlik.
• It resulted in time efficiency from 2 hours to 15 minutes and eliminated potential manual errors.
• Partnered with Internal audit teams to complete audits regarding RTS 2, RTS 22 & RTS 27 and earned a ‘FAIR’ assessment on the same.
• Excellent multitasker - spearheaded projects and UAT regarding OTC derivative products.
• Fixed ~75k backlog trade breaks in a span of 6 months by identifying trade flow between order v/s risk management systems as a tactical fix.
• Some of the issues identified were pertaining to price currency, notional amount and out of scope regions.
• Worked on the BRD and partnered with technology teams to introduce a strategic fix thereby eliminating repetitive potential issues in future.
• Handled SI assessment exceptions monitoring & quarterly signoffs. Also, worked on UAT for SI assessment for additional products going live.
• Cross trained across asset classes - Equity, commodities, interest rates and credit.
• 2-time winner of “Above and beyond” for lean process development & FX data management in Dec 2018 & May 2019.

Environment: MS Excel, MS PowerPoint, MS Word, MS Outlook, Risk Management System, Order Management System, Alteryx, Data sourcing, Data analysis, Transaction Scoping, Presentation Delivery, Risk Assessment, Logic Development, Teamwork, Collaboration, Global Coordination, Challenging the status quo, Leveraging best practices, Project Planning, Lean Process, Controls, SOP, BRD, UAT, Internal and External Audit, Escalation

Confidential

Senior Associate

Responsibilities:

• These systems and tools are widely used to trade into bonds, commodities, futures and derivatives.
• Worked on reconciliation reports for corporate banking, fixed income, and prime brokerage.
• I worked on the remediation at team level and reach out to the onshore counterparts if needed.
• Such issues arise mostly if the entity’s KYC records stand terminated in our repository system.
• Developed Standard Operating Procedures, received signoff from on shore counterparts.
• Maintained on a going forward basis with any new learnings or updates and conducted quarterly, semiannual, and annual signoffs from onshore team.
• Conducted OFAC screening - Strict adherence to no new setups/deals are carried for sanctioned regions.
• Red Flag and report any such requests with the dedicated compliance and risk teams.
• Coordinated between external auditors (PWC and Deloitte) and operations team for providing adequate proofs for the client, setups done as requested by the clients.
• Developed excellent long-term relationships with on shore team in US.
• As a part of controls and risk perspective initiated a drive which states that SSI should only be setup if it is provided by the client through alert (SSI window).
• This will verify that the SSI are correct and more accurate. Identified the gaps between front office and back office and standardized the process.
• Won “Team of the Quarter’’ award for the 3rd quarter of 2015.

Environment: MS Excel, MS PowerPoint, MS Word, MS Outlook, Downstream Systems, Core Database system, Data sourcing, Data analysis, Transaction Scoping, Presentation Delivery, Risk Assessment, Logic Development, Teamwork, Collaboration, Global Coordination, Challenging the status quo, Leveraging best practices, Project Planning, Lean Process, Controls, SOP, BRD, Reconciliation, UAT, Internal and External Audit.

Confidential

Associate

Responsibilities:

• Analyzed audit reports, interpreted financial reports, calculated economic data such as tax, debt & OPEB.
• Populated accurate data in the system which would be utilized to analyze and assign ratings to the client.
• Data Quality checker for data accuracy and consistency.
• Collaborated with technology teams for process improvements.
• Initiated rulebook setup, collaborated with onshore team in Denver, implemented the book for the team.

Environment: MS Excel, MS Word, MS Outlook, CITRIX Database, SOP.