Assistant Vice President
HSBC
Total years of experience :13 years, 9 Months
• Designing and implementing an overall risk management process for the organisation, which includes an analysis of the financial impact on the company when risks occur
• Performing a risk assessment (RCSA) : Analysing current risks and identifying potential risks that are affecting the company
• Experienced in aligning to the other key risks across the risk taxonomy, including operational, financial and strategic risk as well as intersecting risks.
• Risk reporting tailored to the relevant audience. (Educating the board of directors and Risk Stewards about the most significant risks to the business; ensuring business heads understand the risks that might affect their departments; ensuring individuals understand their own accountability for individual risks)
• Building risk awareness amongst staff by providing support and training within the team.
• Follow and Monitor Operational Risk issues (risk incidents, risk indicators and risk appetite)
• Support the reporting to Management and appropriate committees on major issues and trends of operational risk profiles
• Identifying themes and actionable insights using data from across the three lines of defense and risk management tools including Risk Appetite Statement, Risk Map, Top and Emerging Risks, Stress Testing, Risk Steward Reporting, Risk Dashboards
• Provide second line of defense oversight for significant initiatives, risk events, risk and control self-assessment and scenario analyses
• Prepare reports and present recommendations
• Experience in non-financial risk domain such as operational risk, compliance risk etc
• Experience in risk and control assessment, Key risk indicator (KRI), risk appetite and risk incident
• Exposure to various taxonomies like risk taxonomy, control taxonomy, process taxonomy etc
PERSONAL ACCOUNT DEALING OUTSIDE BUSINESS INTERESTS COMPLIANCE RISK ASSESSMENTS
DERIVATIVES OPERATIONS OTC SETTLEMENTS EQUITIES FIXED INCOME REGULATORY REPORTS
MIS & REPORTING PEOPLE MANAGEMENT BANKING OPERATIONS PROJECT MANAGEMENT
Key member of the Reconciliations Team, specialized in performing recon on trade, position and cash on Exchange Traded Derivatives
•Played a pivotal role in stabilizing the project by ensuring consistent delivery and quality
•Entrusted to work on live market-facing applications like IntelliMatch and Stream GMI
•Developed expertise in preparing customized Client Reports by extracting and reconciling data from multiple data sources
•Performed supervisory activities like preparing and validating the Trail Balance Reports, investigation of reconciliatory discrepancies and other Middle Office activities
Key member of the Neutral Controls Team, performing trade reconciliation between Middle Office and Back Office systems for Equity Derivative trades
•Managed the UAT for the Transaction Lifecycle Management (TLM) Project for the function
•Utilized my expertise of End-To-End Trade Flow to work on building an effective Inter-System Recon methodology
•Entrusted to work on Root Cause Analysis of failed reconciliations between Back Office and Middle Office.
•Designated Specific Point of Contact (SPoC) for all inter departmental communications with the Trading Desk, Finance,
to work on the Derivatives Settlement Process
•Ensured stabilization of process within 3 months and was recommended by the management to be on-boarded as a Permanent Employee of Deutsche Bank
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