Kawaljeet Singh Sudan
New Delhi
Summary
Efficient and proactive professional in known for Problem solving, Automating complex processes and daily tasks, high productivity and the ability to efficiently complete tasks. Skilled in navigating complex regulatory environments, ensuring compliance with local and international regulations, and proficient in risk management strategies. Excel at communication, problem-solving, and teamwork, utilizing these soft skills to successfully manage projects and liaise with stakeholders.
Overview
11
11
years of professional experience
Work History
ASSISTANT MANAGER
Bank of America
GURUGRAM
07.2020 - Current
- TRCG Project Lead for Regulatory Rewrites for the year 2024-25, which includes requirement discussion, UAT planning and testing, post-go-live analysis, and remediation of all the issues, bugs, or breaches identified. Also, contribute to taking all controls to the Green state within the GTG phase.
- TRCG Representative for Weekly connect with stakeholders, Compliance and Top Management.
- Reviewing Existing Process & Controls on a frequently basis to ensure Complete, Accurate and Timely Transaction reporting to Regulators
- Identifying New Reporting Breaches and escalating it to Compliance and Senior Stakeholders
- Understanding the Requirements of Regulations of various regulatory bodies to implement the required changes and execute all the controls smoothly without any breaches
- Driving the Projects related to change in Regulations like UPI Change, CFTC Rewrite, SEC Implementation
- Hosted meetings with Management and Onshore Stakeholders to provide updates on Team’s Reporting Breaches, Technical Challenges, Controls status etc
- Reviewing various controls performed by other team members to asses risk areas to be highlighted
- Coordinate with Stakeholders to remediate the control gaps or technical issues with adequate testing
- Evaluate all controls within team to build Weekly, Biweekly and Monthly Reports for meeting with Management
- Built automations using Alteryx Tool to reduce risk, efforts and time of the resource
- Acted as SPOC for onboarding New Hires, Training the team members across different roles and mentoring them on regular basis by conducting bi-weekly connects
- Initiated connects between Technology, Compliance and Operation team for strategic initiatives and solutions
- Onboarded Jurisdictions like SEC and transitioning of EMIR OTC , REMIT, Bank of Israel from onshore locations
Process Analyst
Broadridge Financial Solutions (India) Pvt. Ltd.
06.2014 - 09.2020
- Part of transition of CORPORATE ACTIONS processes like Mandatory Activities, Class Actions, Proxy Voting from Client side (Mumbai to Delhi)
- Successfully Automated activities related to Proxy Communication & Monthly Metrics with the help of Data Management Team
- Successfully learned Corporate Actions activities and handling without any support and also trained new hires in HYD on new work migrated from NY & Mumbai
- Received appreciations from NY clients on handling exceptions and volume without any issues and extra support
- Received employee of the quarter twice in very short span of time
- Handling processing related to Class Actions, Proxy Voting’s, Mandatory and Voluntary CORPORATE ACTIONS like Cash Merger payments, Stock Merger, Dividend Payments and handling instructions submitted for Voluntary participation, and Monthly Metrics activities
- RECONCILIATION part for event processed which includes Cash and Stock reconciliation for Equity and FI securities for NY region for various brokers
- Ensuring all projects and tasks get completed with 100% accuracy and all SLAs met
Specialist
MarkitSERV (IHS Markit)
09.2015 - 07.2020
- SME of Transaction Regulatory Reporting Controls within MarkitServ across various platforms like MarkitWire, DS Match and Markit Trade Manager etc
- Transitioned various processes from Global teams by initiating various controls to save efforts and reduce Regulatory Risks
- Initiated long term projects for process improvement, documentation update, platform improvement, uniformity in the processes globally etc
- Initiated and Managed Project Zero to resolve all existing regulatory reporting issues/breaches etc
- Assisted on various management tasks like Employee Performance Matrix, leave planner, internal audits, internal employee trainings, mentoring new joiners etc
- Liaise with Trade Repositories like DTCC to resolve exceptions or potential reporting breaks
- Assisting counterparties /clients in updating the reporting information to ensure accuracy in reporting
- Hosted Weekly meetings with the clients to ensure the successful transaction reporting and reconciling the data with the DTCC
- Initiated bi-weekly calls with technical team to collaborate more effectively and efficiently to cater client needs
- Interpreting client issues to resolve reporting breaches for Jurisdictions like CFTC, ESMA, Canada, HKMA etc
- Worked on various external tools DTCC, ICE etc
Intern
- Study of different financial instruments like Equity, Derivatives and Insurance Products
- Worked on Reconciliation of Companies data, revenue generation through Tele calling and Comparative analysis of various Insurance Products
Education
Master of Business Administration - Finance
Indian School of Business & Finance
01.2014
BBA - Finance
New Delhi Institute of Management
01.2011
Skills
- Project management
- Team bonding
- Quality assurance and control
- Risk management
- Regulatory reporting
- Alteryx Designer Software Proficiency
- Teamwork and collaboration
- Task prioritization
- Risk analysis
Languages
- English
- Hindi
- Punjabi
Hobbies and Interests
- Cooking
- Driving
- Cricket
Internship
- 3 Months, SPA Insurance and Capital Services
- 3 Months, CD Equisearch Pvt Ltd.
- Study of different financial instruments like Equity, Derivatives and Insurance Products., Worked on Reconciliation of Companies data, revenue generation through Tele calling and Comparative analysis of various Insurance Products.
Personal Information
Father's Name: Inderjit Singh Sudan
Timeline
ASSISTANT MANAGER
Bank of America
07.2020 - Current
Specialist
MarkitSERV (IHS Markit)
09.2015 - 07.2020
Process Analyst
Broadridge Financial Solutions (India) Pvt. Ltd.
06.2014 - 09.2020
Intern
Master of Business Administration - Finance
Indian School of Business & Finance
BBA - Finance
New Delhi Institute of Management
Similar Profiles
Daniel NavaDaniel Nava
Lead Operations Representative at Bank of AmericaLead Operations Representative at Bank of America
Robert MarcoRobert Marco
Lead Operations Representative at Bank of AmericaLead Operations Representative at Bank of America
Devi MaksutiDevi Maksuti
Personal Banker at Bank of AmericaPersonal Banker at Bank of America