Anindita Goswami
Compliance And Operations Risk Specialist - Director
Pune
Summary
Dynamic leader with over 20 years of experience in financial services, IT consulting, and compliance and operational risk management across diverse international markets. Proven ability to implement effective risk mitigation strategies while fostering strong cross-business partnerships to drive organizational success. Expertise in challenging the status quo and refining risk assessment processes to facilitate sustainable business growth. Recognized for delivering significant operational improvements through targeted strategic transformation initiatives.
Overview
20
20
years of professional experience
2
2
Certifications
Work History
Director - Compliance & Operations Risk Specialist
UBS Group, Pune
08.2020 - Current
- As financial institutions face increasing regulatory scrutiny and evolving risk landscapes, the role of a Global Compliance and Ops Risk specialist is more critical than ever.
- UBS operates in a highly complex global market where risk management directly impacts financial stability, investor confidence, and operational efficiency. My role ensures the firm remains agile, resilient, and compliant with emerging regulations, while safeguarding business continuity.
- By proactively identifying risks and implementing robust control measures in the transaction front-to-back lifecycle across the firm.
- Perform a risk and compliance assessment on emerging risks in the firm, most recently by Artificial Intelligence (AI) in operations.
- Thematic reviews on ongoing risks in the front-to-back lifecycle, such as execution errors, manual processing, including payments and asset transfers, and control deficiencies, etc.
- Partnering with non-financial risk specialists to review and challenge operational controls and frameworks to mitigate risk effectively.
- Enhancing regulatory compliance efforts by identifying and addressing gaps in risk management practices.
- Driving strategic risk initiatives, including automation and process optimization, to improve operational resilience.
- Engaging with senior stakeholders to ensure alignment of risk strategies with business objectives.
Vice President & Line Risk Manager / Multiple Operational Units
Credit Suisse (UBS Group Company)
08.2020 - 03.2024
- As a Line Risk Manager, I played a key role in ensuring Credit Suisse's operations were resilient against market fluctuations. By implementing proactive risk frameworks, I helped mitigate potential threats, optimize settlement processes, and ensure adherence to compliance mandates, positioning Credit Suisse as a trusted financial entity in global markets.
- Managed securities settlements for APAC market locations, including USITS and Euroclear, ensuring timely and accurate execution.
- Led process initiatives and automation efforts, enhancing efficiency, and reducing operational risk.
- Developed a consolidated F2B dashboard, streamlining data visualization, and facilitating informed decision-making.
- Strengthened cross-functional collaboration with the Front Office, Middle Office, and Treasury to mitigate settlement risks.
- Championed leadership development by mentoring and building a pipeline of AVP and VP-level talent.
- Successfully handled regulatory-driven process enhancements to ensure compliance with industry standards.
Program Manager / Settlements Manager / Operations Lead
Wipro Digital Operations and Platforms, London | Zurich | Pune | Hyderabad | Delhi
06.2006 - 02.2020
- Managed large-scale transformation projects for investment banks, enhancing operational efficiency.
- Led risk remediation and process redesign initiatives, driving synergies across global teams.
- Spearheaded the F2B Data Analytics program in London, optimizing reference data strategies.
- Successfully handled stakeholder management with the Front Office, Middle Office, and Cash Management/FX teams.
- Implemented cost-reduction measures, saving approximately USD 400K through Six Sigma methodologies.
Education
Diploma of Higher Education - Business Administration
St. Mary's University
London03-2011
Bachelor's in Arts - Political Science (Hons.)
Delhi University
Delhi1 2006
Skills
Effective strategic planning
Accomplishments
- Best Manager of the Year (2018)
- VP Lead Award Q1 2020 & Q1 2021
- Best Team Award APAC Securities Settlements
- Embedded and refined risk awareness within company culture through training initiatives.
- Led APAC Securities initiatives, optimising front office and client behavior insights.
- Reduced controllable breaks by 54% within a year through F2B collaboration.
- Certified Six Sigma Green Belt, driving operational efficiencies and cost savings.
- Selected for St. Mary's University's prestigious Business Administration Diploma Program in London.
Certification
Inclusive Leadership
Timeline
Director - Compliance & Operations Risk Specialist
UBS Group, Pune
08.2020 - Current
Vice President & Line Risk Manager / Multiple Operational Units
Credit Suisse (UBS Group Company)
08.2020 - 03.2024
Program Manager / Settlements Manager / Operations Lead
Wipro Digital Operations and Platforms, London | Zurich | Pune | Hyderabad | Delhi
06.2006 - 02.2020
Bachelor's in Arts - Political Science (Hons.)
Delhi University
Diploma of Higher Education - Business Administration
St. Mary's University