Summary
Overview
Work History
Education
Skills
Accomplishments
Certification
Timeline
Generic
ANIL B R

ANIL B R

Surveillance
Bengaluru

Summary

Self motivated subject matter expert with 8 years of progressive experience in risk and compliance. Energetic self-starter, agile and versatile team player.

Overview

9
9
years of professional experience
1
1
Certification

Work History

Manager

MUFG
11.2023 - Current
  • Collaborating with technology and third-party vendors to integrate electronic communication channels into the monitoring tool, fine-tuning the scenarios that generate alerts, and troubleshooting any issues that arise.
  • Establishing and maintaining written procedures and governance processes for the E-Communications & Audio Surveillance Program.
  • Driving the enhancement and improvement of the surveillance program from both effectiveness and efficiency perspective.
  • Collaborating with line-of-business supervisors, first line of defense employees, and compliance managers to implement the monitoring tool.
  • Planning enhancements with Third-Party Vendor to incorporate other statistical methods, machine learning, and artificial intelligence in the monitoring tool.
  • Preparing metrics to report monitoring results to senior management, including identifying potential trends or themes that may warrant further consideration or action.
  • Overseeing the team's performance and conducting quality assurance on the Audio & E-communications reviews.

Manager

HSBC Electronic Data Processing
1 2021 - 11.2023
  • Support in establishing surveillance framework for business and ensuring best in class on time project delivery.
  • Continuous review of processes with the objective of identifying control gaps and mitigating risks, improving the service delivery timeframe and identifying areas of improvement globally.
  • Assist in escalating anomalous or pattern of unusual activity, market abuse, conduct and conflict of interests.
  • Identify, review and escalate any potential issues or bottlenecks acting as a hindrance in delivering quality output.
  • Orchestrating effective UAT across all COE location and provide recommendations and impact analysis on new technology implementation.
  • Initiate and implement high-impact quality projects leading to operational efficiency and foster a culture of innovation globally.
  • Develop governance and control mechanism for achieving operational excellence.
  • Coach, guide and conduct refresher/calibration sessions globally to attain highest level of competency.
  • Regular review and maintenance of DIM, global procedures and guidelines and ensure global standards are met.
  • Collaboratively work with senior stakeholders, IT, product stewards and audits teams for achieving the robust Surveillance vision.

Assistant Manager

HSBC Electronic Data Processing
01.2018 - 01.2021
  • Monitoring E-communication channels and ensure accurate referrals and timely escalations of alerts generated by surveillance system and follow ups to nil response and keeping line management informed of exceptions.
  • Maintain sufficient and effective processes and controls identifying and mitigating risks and ensure timely escalation resolution of all control’s issues and reputation risks.
  • Undertaking daily, weekly and monthly monitoring tests to ensure that the risks within the surveillance RC monitoring plan are mitigated.
  • Identify improvement and assist in the on-going development of systems to improve the efficiency of monitoring.
  • Conducting internal training sessions and process training for new joiners.
  • Production of accurate and in-depth Management Information reports

Associate

HSBC Electronic Data Processing
01.2016 - 01.2018
  • Review, investigate and escalate alerts generated by the Global Market E-Surveillance system. This system is designed to identify breaches of internal policies relating to information boundaries or individual behavior that may signify potential risks to HSBC and / or its clients’, in particular that of Market Abuse risk.
  • Check the alerts closed to ensure that all quality related parameters are met by the team.
  • Escalate instances of irregularities to regional hubs.
  • Produce MI reports on monthly basis to onshore.

Education

MBA - Finance & Marketing

EWIT
Bengaluru
04.2001 -

Skills

Stakeholder Management

Training and Facilitation

Effective Collaboration

Analytical Skills

Strategic Thinking

Accomplishments

  • Streamlined work allocation in MUFG resulted in 0.3 FTE save.
  • Streamlined workflow for effective and timely work allocation in HSBC across 6 GSC hub locations which resulted 4 FTEs save.
  • Automation of MI reports without manual interventions.
  • Automated Governance controls in the process.
  • Assisted in timely closure of various MSII and MAP.

Certification

Anti bribery & corruption, Market abuse, Sanctions - International compliance association

Timeline

Manager

MUFG
11.2023 - Current

Assistant Manager

HSBC Electronic Data Processing
01.2018 - 01.2021

Associate

HSBC Electronic Data Processing
01.2016 - 01.2018

MBA - Finance & Marketing

EWIT
04.2001 -

Manager

HSBC Electronic Data Processing
1 2021 - 11.2023

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ANIL B RSurveillance