Jan 2022 – Dec 2022 · 11 mos · Gurugram, Haryana, India

• Identifying the risks and recommending the controls associated with the process that should comply with CASS (Client Sourcebook) rules authorized by FCA.
• Documenting all the walkthroughs and creating a design workflow with the client.
• Involved in multiple Reasonable assurance engagements for S166.
• Design and review of corporate governance, risk management, and regulatory compliance frameworks and functions.
• Design and review of the systems and controls supporting the conduct processes (Onboarding, Reconciliation, Trade execution. Complaints / Breaches).
• Supporting firms as they develop their operational resilience frameworks.
• Interviewing the key people of the associated process to check the governance requirement.
• Evaluating via Test of design (TOD) and Test of Effectiveness (TOE) whether controls are designed in a manner whether those controls are being performed consistently, as designed, and are successful in detecting or preventing risks.
• Assisting team in project kick-off activities (Staffing, Budgeting, Request Lists, IPP and Independence confirmation), reporting (status updates and trackers, executive committee decks).

Aug 2021 – Jan 2022 · 5 mos · Gurgaon, Haryana, India

Jul 2018 – Aug 2021 · 3 yrs 1 mo · Gurgaon, Haryana, India

• Successfully transition done of the Exotic Rates Derivatives confirmations from Manchester to India within 3 months of time span.
• Adhering to stringent Operational risk management targets (KRI / KPI), working with the manager to resolve and raise aged or high-value items.
• Doing regression testing for the in-house process applications before any production release.
• Drafting according to ISDA, Affirming and Chasing the investment banks and asset management firms such as JPMorgan, Goldman Sachs, BNP Paribas, Macquarie, Northern trust, etc FX Option and NDFs product confirmations and ensuring to execute the deals within the tight EMIR regulatory deadlines.
• Booking the bilateral trades in MarkitWire platform on behalf of traders via Term sheet.
• Participated in continuous improvement by generating suggestions, and engaging in problem-solving activities to support teamwork. Exceeded goals through effective task prioritization and a great work ethic.
• Reconciliation for the NDFs trades via TLM and Front to back office (FOBO) trades resolving the breaks by daily interaction with Front Office, Sales, and Middle Office.

Jan 2018 – Jul 2018 · 6 mos

• Managed and handled platforms (MarkitSERV Trade Manager (MTM), Markitwire/Swapswire, and DMS) used by 300+ buy-side and sell-side clients which help them automate and monitor their OTC derivatives post-trade processing across multiple asset classes.
• Exposed to multiple facets of OTC Derivatives space – Trade Lifecycle, Post Trade Processing, Clearing, Rates asset class, ISDA, Affirmation, and Matching.
• Worked with Product Management and Technology to identify business requirements, understand client’s concerns, and analyze the problem on the e-trading product releases and running the new releases on UAT platforms.

Mar 2016 – Dec 2017 · 1 yr 9 mos

• Direct interaction with MarkitSERV Clients (Custodians, Asset Management) globally to resolve technical (Trade Failures, Trade confirmation) and non-technical related OTC Derivatives queries.
• Assist clients with clearing of OTC derivative trades for CCPs like CME, LCH, ICE etc.
• Monitor client queries, investigate and troubleshoot errors and work with internal groups to provide resolution.
• Assist inter dealer brokers like ICAP, Tullets and BGC for successful execution of trades under SEF, MTF/OTF route. clients requirement with regards to trade confirmation.

Apr 2015 – Jun 2015 · 2 mos · Gurgaon, India

• Assistance in addressing Indian tax issues keeping in view the prevailing tax law.
• Determine a professional’s residential status in India during the period of assignment.
• Analyze taxation of income in the home and host country and advise on the tax impact of the same.
• Advise of exemption and tax credit for foreign taxes is claimed.
• Determine taxability of employer’s and employee’s contributions to retiral benefits of the home country, whether mandatory or otherwise, during the Indian assignment.
• Handhold the expatriate for compliance requirements from their time to entry to their departure from India including tax registration, deregistration, filings, etc.

May 2011 – Jul 2011 · 2 mos · Gurgaon, India

• Proactive monitoring & troubleshooting of Lease Lines and logging trouble tickets.
• Generating monthly analysis report for the customer about the performance of their network.
• Reporting network operational status by gathering and prioritizing information.