Summary
Overview
Work History
Education
Skills
Hobbies
Timeline
Generic
Pavan P

Pavan P

Bangalore

Summary

A BBA graduate with 11 years of experience in Investment Banking Operations, Regulatory Compliance- Trade Surveillance and Markets Customer Monitoring, and Client Asset Servicing & Management looking forward to joining with a view to achieve immense experience and gain greater exposure in different arenas.

Overview

12
12
years of professional experience

Work History

Manager – Markets Customer Monitoring (ASP India Sub-hub)

HSBC EDPI
05.2023 - Current
  • Involved in day-to-day monitoring of clients’ transactions across ASP region countries to detect and limit potential money laundering financial crime risk exposure for HSBC Markets by analyzing alerts generated by the Anti Money Laundering Assistant (AMLA) tool, to identify cases of anomalous customer behavior which are to be escalated to Major Investigations and Financial Crime Investigations (FCI) for further investigation.
  • Assess the response received for RFI from Sales and Relationship managers on prospective anomalous transactions that were flagged off.
  • Assist in the initial set up and drafting of Standard operating procedures for various modules and asset classes which are part of MCM framework.
  • Being part of user acceptance testing (UAT) of newly developed rules sets and asset classes and providing relevant feedback and recommendations for corrective actions.

Lead Analyst – Managed Services Group

FIS Global Solutions
07.2021 - 03.2022
  • As a techno functional analyst have hands on experience in creating the architectural flow document that details the data flow i.e being propagated from one application to another (The downstream being a Surveillance application).
  • Co-ordinate with different business units and stake holders for information gathering and business analysis in order to derive at a solution/suggestion.
  • Connect with core IT team (Dev/Programmers) to understand the program logic behind a particular downloads/job in an application and provide inputs in accordance with requirement of client needs.
  • Being a liaison between Operations and Tech team to help identify the root cause for any exceptions.

Assistant Manager – Trade Surveillance (Regulatory Compliance)

HSBC EDPI
10.2017 - 07.2021
  • Trade monitoring and surveillance for trades done on fixed income, money market, derivative and equity securities.
  • Managing SLA linked deliverables for AMERICAS/APAC region and managing the resource allocation for the same.
  • Maintain company internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.
  • Ensuring that there are no breaches of Rule sets and provide more insights on improvising the current control mechanisms as laid out by the regulators ( FCA , FINRA etc)

Senior Associate - RDMS (Reference Data Management Service)

Capgemini India - UBS Client
07.2016 - 09.2017
  • Build Securities on UBS Global Database which are used by Traders and other UBS entities. Securities include Equities, Corporate bonds, Municipal bonds, float rate notes etc.
  • Solving Queries on Helpdesk sent by Traders and Investors related to securities.
  • Clearing trade breaks: Involves solving all trade breaks which are caused due to incorrect security static.
  • Reconciliation of Accrued interest of bonds with reference to Bloomberg.

Senior Associate – Conversion Services and FCM

Fidelity Investments
06.2013 - 07.2016
  • Setting up and maintenance of retail brokerage accounts.
  • As a Conversion Analyst working on projects which is being transitioned from fellow competitors to Fidelity.
  • Reconciling of purchased assets and transactions processed and allocation of funds as per client / Portfolio manager’s directions.
  • Calculation of interest and dividends of purchased assets.

Education

BBA -

PES BBM (PESIT)
Bangalore, India
05-2013

P.U.C -

Christ Junior College
Bangalore
01.2010

S.S.L.C -

Christ School
Bangalore
01.2007

Skills

  • Analytical problem solver
  • Driven to learn
  • Trade Surveillance
  • Anti Money laundering
  • Trading Hub
  • Bloomberg
  • Reuters
  • Actimize
  • MS Office Suite

Hobbies

  • Playing Tabla and Djembe (african drum)
  • A wildlife enthusiast, animal lover and rescuer often collaborating with the rescue team of BNP (Bannerghatta National Park).
  • An Automobile enthusiast and a hardcore solo bike rider having covered close to 9,500 kms on solo trip.

Timeline

Manager – Markets Customer Monitoring (ASP India Sub-hub)

HSBC EDPI
05.2023 - Current

Lead Analyst – Managed Services Group

FIS Global Solutions
07.2021 - 03.2022

Assistant Manager – Trade Surveillance (Regulatory Compliance)

HSBC EDPI
10.2017 - 07.2021

Senior Associate - RDMS (Reference Data Management Service)

Capgemini India - UBS Client
07.2016 - 09.2017

Senior Associate – Conversion Services and FCM

Fidelity Investments
06.2013 - 07.2016

BBA -

PES BBM (PESIT)

P.U.C -

Christ Junior College

S.S.L.C -

Christ School

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Pavan P