Henry F D'Souza

• Pod Lead for KYC Analysts: Directed a team of 12 KYC Analysts, overseeing daily operations, managing assignments, setting priorities, and addressing queries to ensure seamless workflow and high-quality output.
• Due Diligence Expertise: Executed thorough due diligence on a wide range of client entities, including Special Purpose Vehicles (SPVs), Private Investment Vehicles (PIVs), Registered Investment Advisors, partnerships, hedge funds, mutual funds, and both ERISA and non-ERISA regulated entities, tailoring assessments to client-specific risks.
• Comprehensive Client Reviews: Conducted periodic reviews of client activities, delivering a holistic evaluation across diverse product and service lines to ensure compliance and mitigate potential risks.
• Subject Matter Expert (SME) & Quality Assurance: Served as an SME, performing in-depth quality checks on cases to ensure thorough risk coverage. Provided actionable insights and recommendations to enhance risk management practices.
• Policy Collaboration: Partnered with the policy team to develop and refine guidance documents and FAQs, ensuring clarity and consistency in compliance procedures.
• Team Development & Training: Formulated and implemented professional development strategies for team members, including targeted coaching, mentoring, and training programs to enhance individual and team performance.
• Risk Mitigation & Quality Assurance: Conducted detailed quality checks to reinforce risk mitigation strategies during client reviews, ensuring adherence to regulatory standards and best practices.
• Client Engagement: Actively participated in client meetings and conference calls, delivering critical updates and strategic recommendations to drive informed decision-making and maintain strong client relationships.

Primary Responsibilities:

• Ensured trade confirmations aligned with risk management records and maintained comprehensive documentation for audits.
• Enhanced Straight-Through Processing (STP) rates through effective coordination with the change management team.
• Drafted and executed FX Options and Non-Deliverable Forwards (NDF) confirmations, meeting all regulatory deadlines.
• Resolved client queries and discrepancies, liaised with Sales and Legal teams, and managed sensitive client expectations.
• Led Master Confirmation Agreement (MCA) initiatives and handled global confirmation queues.
• Conducted training for new joiners on product and process flows.

Primary Responsibilities:

• Drafted and confirmed FX Options and NDF long-form confirmations, adhering to regulatory deadlines while managing client-specific requests and bulk drafting.
• Coordinated with clients, Sales, and Legal teams to resolve queries and discrepancies, ensuring accurate and efficient communication.
• Led Master Confirmation Agreement (MCA) initiatives and oversaw global confirmation queues for interbank and corporate clients, streamlining processes.
• Conducted training for new joiners on product and process flows, and managed Barclays Non-Core Novation Processing, including drafting Novation Agreements and Consents for mergers and desk relocations.

• Managed client and franchisee risks by setting limits, handling client activation and deactivation, and ensuring accurate trade confirmations. Created and maintained ageing and debit reports, developed new online and Orion IDs, and managed trade cancellations and modifications.
• Conducted online trade backups, performed debit follow-ups, and maintained a follow-up file for efficient operations and risk management.