I am a Conduct, Ethics, and Compliance Professional, with over 14 years of experience. I have extensive knowledge of front-to-back banking processes, financial products, regulatory requirements, surveillance, governance, and risk assessment processes.
I partner with the business to conduct effective compliance surveillance and monitoring to effectively mitigate compliance risks and protect the reputation of my organization as a premier, trusted bank.
Implemented effective Trade and e-Comms Surveillance processes that encompass cross-asset class and cross-market scenarios to mitigate compliance risks and detect and prevent market manipulation, insider dealing, and fraud.
Generated regulatory reports for all APAC jurisdictions for the Global Regulatory Shareholding Reporting. Managed internal audit of the Short Position Reporting for HK and Japan. Designed a solution for surveillance of Structured Notes and Collar Options.
Created the APAC Private Banking data sourcing strategy for the Actimize Insider Dealing surveillance. Partnered with the HK and Singapore Ethics Office (Control Room) to validate the implemented solution and conducted Actimize training for the compliance officers.
Conducted gap analysis for Compliance Planning and Review, collaborated with Compliance officers, vendors and regulators to identify potential vendor solutions and helped the business to prioritize, analyze, and select a suitable solution. Prepared Agile project plan, documented user stories, and validated the implemented solution.
Implemented Information Barriers for the bank to effectively mitigate conflicts of interest and conduct risks by designing surveillance reports for Portfolio & Dividend Swaps, Employee Trades, Market Abuse Regulation Insider Trading, and Total Return Swaps on Equity.
Over three years, implemented and managed a bank-wide annual Compliance Risk and Control Assessment. Collated annual quantitative metrics for Revenue, Regulatory and Operational Risks, and Governance themes to assess the Compliance Inherent Risks and the Control Effectiveness and calculate the Residual Risk.
Developed a process for employee Personal Account Trading including trade pre-clearance approval, automated collection of employee trades directly from brokers for post-trade monitoring, comprehensive internal compliance monitoring reports for all regulator audit requests, and provided training to new joiners in the Credit Suisse Ethics Office (Control Room).
Joined Credit Suisse as a developer and business analyst. Over five years, created and maintained a customized Trade Surveillance system for the Japan regulatory environment.
Started a six-year phase of my career at HP. Conducted analysis, design, implementation & support of planning, forecasting and order management applications. Managed an application support team and collaborated with multiple interfacing teams and business users.
Surfed the dot-com wave as I designed & developed an online B2B marketplace that included online auctions, product catalog, shopping cart & multi-language support.
Moved to Singapore to work on a project that involved re-engineering, design, development, and functional testing of an application for invoicing, payments and accounting.
Completed my MBA and worked for a year developing an integrated Banking and Treasury Management product that included modules Risk Management, Foreign Exchange, Money Market, Financial Futures and Capital Market Securities.
Started an MBA in Finance at the University of Pune.
Graduated as a computer engineer from the University of Pune and worked for a year creating an aggregated index of securities on the Bombay Stock Exchange. Got interested in the finance industry, which led to...