Ankit Jain
Byculla, Mumbai
Summary
Professional with 6 Years+ of experience in the industry, with knowledge of Investment banking process, Operational Risk Management, Internal Controls, RCSA. Personally willing to make a meaningful contribution to the world of finance through hard work, dedication, commitment, and professionalism. To benefit the growth of organization with the optimum use of my knowledge and experience and to have career growth with the opportunities in the organization.
Overview
8
8
years of professional experience
4
4
years of post-secondary education
Work History
Assistant Vice President
Credit Suisse Business Analytics (India) Private Ltd, Investment Bank - Control Attestation
12.2018 - Current
- Act as First line of Defense to Investment Banking Front Office Business in the area of risk and control's development
- Assisted by working closely with Business Controls, NFRM and Front Office in developing/evaluating the Business Risk and Controls Framework, including the RCSA process
- Business Controls identification, control testing, control remediation closure, RCSA preparation in alignment with operation risk and controls framework resulting in strengthening of the controls environment
- Performed end-to-end control testing for business and SOX controls in order to provide reasonable assurance that the control mitigate the operational risk while complying with the relevant policies and guidelines
- Performed control testing inclusive of manual and automated process, created procedures to ensure adequate steps are performed to identify risks pertaining to the automated element within the control
- Evaluating the performance of the control for Front office by assessing Design and Operating Effectiveness of all Key Controls in the inventory, thereby ensuring that the testing of the control is performed in line with the firm’s policy and requirement
- Liaising with the compliance and other internal teams for smooth functioning of the banks risk and controls framework
- Performing various tyre-kicks like Pre-Trade Mid-Market Mark & Material Economic Terms (PTMMM & METs) tyre-kick, Alpha Capture tyre-kick, Cross Border tyre-kick, Supervisory Framework tyre-kick into Front office process to ensure compliance with regulatory requirements and firms internal standards, controls and policies
- Facilitated creation and timely updating of the procedure manual ensuring the process are in line with the business requirements
- Processing of key decks for participation in various key governance forums and providing necessary information as may be needed by senior management empowering informed decisions
- Involved in automation initiatives bringing efficiencies in the control process, tyre-kick process.
Senior Analyst
Barclays Shared Capital Private Ltd, GRD
10.2017 - 11.2018
- As part of Instrument reference data team, am accountable in creating and handling all instruments on wealth platform as and when requested by trader or by corporate action team and keeping data abreast based on vendor source details
- Creation of setups for various products like Money market funds, Bonds, Equities, Structured Products and OTC options by taking market reference data or information provided by the requestor
- Managing / Monitoring static information ensuring data is up to date and is in line to vendor source and thereby ensuring all auto feed are correctly mapped to facilitate future pricing on assets
- Processing corporate actions queries on Bonds, funds, equities etc
- Supporting product and pricing data integrity by preparing & analyzing tolerance reports and resolving queries from consumers of the data across the bank
- Uploading prices for different asset types such as Bond, Shares, ETO, Fund, Structured Product, reviewing price feeds and raising incidents for exceptions
- Reviewing of compliance mail and applying / lifting of restriction on the securities as per compliance mail
- We challenge Reuters, Bloomberg, and Telekurs for their prices to have an accurate valuation of a security
- Maintaining daily quality check tracker for various types of assets
- Successfully completed project on various pricing tolerance reports which includes Bond, Equity, Shares and Derivatives
- Successfully helped in completing stockbroker and GIMIL migration project to Avaloq.
Associate Analyst
Wipro Ltd
09.2016 - 10.2017
- Creation of setups for various products like Fixed Income, Money market funds, Bonds, Equities and Structured Products, OTC options by taking market reference data or information provided by the requestor
- Supporting product and pricing data integrity by preparing & analyzing tolerance reports and resolving queries from consumers of the data across the bank
- Processing corporate actions queries on Bonds, funds, Derivatives, Indices etc
- Setting up settlement instructions for Bonds through interacting with internal and external stakeholders
- Uploading prices for different asset types such as Bond, Shares, ETO, Fund, Structured Product, reviewing price feeds and raising incidents for exceptions
- We challenge Reuters, Bloomberg, and Telekurs for their prices to have an accurate valuation of a security
- Maintaining daily quality check tracker for various types of assets
- Resolving pricing queries received over phone & mail box from stakeholder & clients
- Challenging vendor pricing feeds where prices not in-line with market.
Management Trainee
ICICI PRUDENTIAL, Mutual Fund
05.2015 - 07.2015
- Conducted a survey analyzing investors (50+) risk appetite, holding period, expected rate of returns and investment capacity towards Mutual funds
- Successfully convincing few clients to invest in Mutual funds to match their risk-return targets
- Convincing existing ICICI customers to switch from traditional fixed deposit to mutual funds.
Education
Master of Management Studies -
Lala Lajpatrai Institute of Management
09.2014 - 05.2016
Bachelors - Commerce
K. P. B. Hinduja College of Commerce
06.2010 - 03.2013
Skills
Operational Risk management & assurance
undefinedKey Achievements
- Awarded 3 RAVE Bars in the tenure at Credit Suisse.
- Received Global Recognition for Excellence –Barclays Value Award.
- Received “Thank You” note multiple times from Service Partners and Clients for splendid delivery and accuracy of work at Barclays.
Timeline
Assistant Vice President
Credit Suisse Business Analytics (India) Private Ltd, Investment Bank - Control Attestation
12.2018 - Current
Senior Analyst
Barclays Shared Capital Private Ltd, GRD
10.2017 - 11.2018
Associate Analyst
Wipro Ltd
09.2016 - 10.2017
Management Trainee
ICICI PRUDENTIAL, Mutual Fund
05.2015 - 07.2015
Master of Management Studies -
Lala Lajpatrai Institute of Management
09.2014 - 05.2016
Bachelors - Commerce
K. P. B. Hinduja College of Commerce
06.2010 - 03.2013
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