Aditi Lakhote

• Analyzed and evaluated large datasets to identify key themes, trends and insights, providing actionable recommendations to 1LoD & 2 LoD.
• Conducted thorough check and challenge of policies, procedures, and standards, ensuring robust governance, alignment with regulatory requirements, industry best practices, and organizational objectives.
• Conducted control assessments via ORAD to evaluate design and operating effectiveness of controls, identifying areas of improvement and providing recommendations to strengthen internal controls.
• Assessed the adequacy and effectiveness of monitoring activities, providing insights to strengthen risk oversight and inform business decisions.
• Implemented and utilized Enterprise Risk Management System (ERMS) for issue tracking, ensuring timely identification, assessment, and remediation of risks.

• Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
• Assessment of risk management and risk rating.
• Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
• Monitored and assessed compliance risks associated with operational processes and procedures.
• Provided expert guidance on complex regulatory matters, enabling informed decision-making within the organization.
• Leveraged technology solutions for efficient tracking and reporting of compliance-related activities and metrics.
• Collaborated with internal and external stakeholders, auditors and legal counsel to confirm compliance with applicable laws and regulations.
• Maintained up-to-date knowledge of applicable laws and regulations.

Stock Borrowing Lending Operations, Process: Contract Compare (EMEA)

• Investigating on discrepancies appeared with external counterparties post settlement of any trade by performing reconciliation
• Identifying root cause of break and liaising with trading desk, settlements team, Billing Team, agents for break resolution
• Proved successful working within tight deadlines and fast-paced atmosphere.

Process: Interest Claim settlement

• To initiate process of sending claims within 60 days from actual settlement of any trade
• To settle claims of sensitive clients or central banks on priority

Process: Stock Loan - Billing operations

• Reconciliation of the trade level details with clients on parameters such as rate, nominal, price, duration across all the products, Equity, Fixed Income, Taiwan & NY Domestic Billing
• Processing wire payments via SWIFT to intermediary / client bank accounts
• Responsible for allocating clients’ money on a daily basis to protect funds which belongs to clients, Account verification (AV) of nominal on monthly basis, Reporting Key Risk Indicators (KRI’s) to senior management
• Solved complex problems for senior leadership to execute reconciliations within internal systems.

Securities Lending (equity billing)

Handling Stock Loan client billing including settlement of Fees & Rebates by performing manual reconciliation or through globally accepted platforms such as Pirum/Eqiuilend