Chaitra H

Regulatory Compliance-E-communication surveillance & monitoring:

• Review, investigate & escalate the alerts generated
  by Global market E- surveillance system.
  Identifying potential breach in relation to Market
  Abuse,Information boundaries,Conflict of interests
  and Conduct of business.
• Assist in the initial set up & drafting of procedures manuals.
• Conducting process refresher sessions.
• Quality checking, training and supervisory responsibility.
• Produce reports providing management information for senior management.

CTAS (Corporate Trust and Agency Services)

• Verify details like Interest rate (Fixed Rate, Floating
  Rate, Zero Coupon, etc.),Calculation Agent, the
  Nominal amount, Final redemption amount, coupon
  amount,Call options, Put Options, Knock Out Events,Listings, Fungible and Tap Issues, etc.
• Verify the coupon amount for the fixed rate notes using the different day count fractions.
• Identify the details of corporate action events like call and put option dates, notices period details, optional redemption amount and the deadline details etc.
  AWM -Asset and Wealth Management:
• Preparing and sending NAV comparison report to Portfolio Managers by using MS Access database
• Research on NAV breaks based on different threshold both cash and position breaks by using comparison template.
• Handling queries received from Portfolio Managers, and from internal teams.
• Liaising with internal and external departments, Booking,Pricing,Custodians,Auditors.