Falguni Shah

Syndicated Controls Management Guidance Document and requested feedback for improvements.

Managed Controls Frameworks reporting, ensuring assessments are registered in SharePoint for compliance.

Ensuring Access Management and Data Quality.

Assisted extensively in the integration activities of UBS and CS, the combined entity, to streamline processes.

Conducted Controls Portfolio Review, comparing Business Controls with Group Composition for signoff by Controllers.

Upkeep of governance documents post all assessments, and extensive stakeholder engagements for various other tasks.

Led a team of 15+ analysts in investigating alerts from Transaction Monitoring for AML compliance.

Managed sanctions hits, ensuring timely completion and clearance by assigned staff.

Conducted mid-year and year-end evaluations while overseeing daily activities and logistics for the team.

Oversaw compliance operations across five BSCs within UBS India, focusing on advisory and monitoring controls.

Articulated policy matters to business stakeholders, supporting management on Conflict of Interest initiatives.

Evaluated the corrective action process for violations, fostering a proactive controls culture with Compliance teams.

Collaborated with Regional Financial Crime Prevention on annual Risk Assessments and data requirements.

Engaged team members in compliance training and supported communications regarding policy updates.

• Part of the GCS team that currently is the Second Line of Défense for Barclays as a group. Also providing an independent surveillance based on the risk detriments faced by Barclays as a group.
• Core member of Employee Compliance Team that controls the Risk of having Conflicts of Interests amidst Barclays and its Employees. The daily tasks depend- advising the employees the ways in which they can avoid any risks to Barclays putting a check and control in their Trading activities and Private Investments.
• Managing entire APAC (Singapore/Hong Kong/India) Statements Repository. This includes checking the Personal Investment details of the Employees on a regular basis. Actively involved in identifying if the products involved require special sanctions and approvals/ licensing before making an investment.
• Part of the Personal Account Dealing Team that undertakes the task of reach out to employees on: Personal Investment accounts and Disclosures, Trade Approvals, Reconciliations of documents versus the systems, Statements chasing, Account Closure etc. Worked on other areas of Employee Conduct like sending task notifications to the employees for any Outside Business affiliations, Disclosure / G&E and submitting relevant docs on a regular basis.
• Performing tests and internal audits considering the types of trades done by the employees and identifying risks as a part of surveillance and performing signoffs after ensuring controls were effective or not.
• Filing Breaches within the above three prospects in the team and taking it forward with the Breach Management Team who keeps a tab within Barclay’s systems on the Issue / Case / Action based Breach management.
• Also maintaining the Correspondence with the Product Compliance Officers that the Controls are applicable as structured in the Enterprise Risk Framework.
• Worked in a Compliance Risk Assessments team for a cycle after joining Barclays. The responsibilities were ranging from supporting Global Compliance Risk assessments, Rules Mapping and Compliance Policy Reconciliations with the Conduct Risk implications of the Bank.
• Coordinated and worked in the Policy Edits with correspondence to Enterprise-Wide frameworks and governance structures for the function in India, in consultation with global functional heads.
• Conduct ongoing refreshes of the CRA in the Execution Phases to reflect changes to the business units, rules and controls. Have prepared training decks on the CRA tool and roles and responsibilities of compliance officers throughout the CRA workflow process. Generate reports on CRA results and on Annual Compliance Plan to be circulated to Compliance Senior Management.
• Engagement with relevant IT teams or vendors on IT infrastructure issues and functionality enhancements, and UAT testing.

• As a Data Quality Specialist – was completely responsible for identifying and validating the Specific Reference Data Fields through research and recon from different systems.
• Had ventured in to researching the new sources of the reference data fields where the set attributes and mismatches in the set ups can give rise to new exceptional reports with the IT Support and co -ordination.
• Have built strong relationships with business and technology staff and have always looked to enhance knowledge to drive deliverables.
• Brought out better consistency within the PB DQM by recommending enhancements to build up and continually monitor elements of data Quality.
• Proactive approach in identifying the exceptions within the various Data Quality reports on Daily / weekly and monthly basis and ensure proper follow ups with the client service/ requestors daily.
• Also investigated the proper escalations in case if the follow up hierarchy is not responsive.
• Time to time updates to the Global teams on the exceptions as well as enhancements researched.
• Also, educating the global Teams on how can exceptions be reduced if proper procedures are followed – is one of the daily activities.
• Rigorous follow ups and active participation in resolving the exceptions and correcting the set ups is part of daily activity.
• Have provided trainings and was Solely responsible for looking into the Suppression of Paper Copies of Trade Confirms and Month end Statements of Prime brokerage accounts.
• In this pursuit have conversed extensively with the global counterparts, client service and the global documentations team.
• Have been active part of creating Month end Packs for the Global Stakeholders and reaching out to various counterparts on completion of the same managing stringent deadlines.
• Considering the timely updates of the Procedures and policies that adhere to various processes with the then Client Data Management Team.
• Exhibited very efficient project layouts for new initiatives and clean up exercises.
• Suggesting plans for various projects undertaken within Client Data Management and coming up with viable expected dates.
• Part of the Interview Panel within the Client Data Management for identifying candidates that can replace the attritions and mobilities.
• Member of Prime Brokerage Client Data Management that is responsible for the Account Creation and Maintenance as well as the Closure of accounts for the Hedge Fund Clients.
• Client Data Management is a part of Institutional Securities Group that primarily adheres to on boarding and Maintaining Prime Brokerage and International Prime brokerage clients.
• Analyst in the Maintenance space in the CDM team solely responsible for the centralized client Administration.
• Day to day and Month End Task of the CTCADMIN are to maintain relationships for the Business units and looking into creating Prime Brokerage relationship via Client Streamlining Tool and permission them for various PB services and entitlements.
• Continuous interaction with the Client Services team, and the NY Counterpart, pertaining to the sets up for the clients and also proper escalation with regard to the admin tool bugs, data issues and process improvements to the appropriate teams.
• Have contributed to the procedure update on the regular basis and have developed problem solving skills to trouble shoot erroneous set ups at the time of validation and hence contributing in the firm wide Data Integrity.

• Analyst to the Derivative Trade confirms where trades matched on the daily documentations from counterparty and within JP Morgan.
• Dealt with OTC Products like Swaptions, Credit Default Swaps etc.
• Break in any economic details and in matching parameters of the Products should be disputed and request for the amendment of the same to be send to the respective Brokers and Counterparties.
• Established and maintained excellent relationships of a global reach with the Counterparty to the Trades of the JP Morgan through phone and Mails.

• Back and Middle Office Associate placed in the Central Pricing Group - India of GlobeOp Financial Services that provides fair and independent market valuations to clients for Over-The-Counter Derivative Products.
• Providing valuations for different OTC Derivative products like Equity Swaps, Credit Default Swaps, with the help of spreadsheet models with focus on accuracy and timely delivery of the valuations of the respective Hedge Funds.
• Pricing reconciliations, resolution of valuation queries & providing OTC pricing support to the US and UK offices as well as adhering to Policies and Procedures forms the part of daily process for an associate in Central Pricing group.
• Co-ordinate with the Hedge Fund Managers the reporting of daily and Month End pricing and valuations of OTC Derivative Products.
• Monitor the receipt of client information through mail and phone and ensure that all the follow up fund queries are handled in an appropriate manner.
• Ensuring that the daily and Month end pricing and valuations records of the Fund and providing an effective Month End Valuation of the Fund handover of processing between Mumbai and overseas.
• Deriving information from databases like Reuters and Bloomberg in case of daily and Month End Valuation discrepancies if encountered any.