Summary
Overview
Work History
Education
Skills
Accomplishments
Timeline
Generic
Peresa P. Makasare

Peresa P. Makasare

Pune

Summary

Talented Senior Associate ready to offer many years' experience and apply skills to new role. Proficient in project planning, scheduling, and oversight with advanced expertise in customer relations and documentation.

Overview

12
12
years of professional experience

Work History

Lead Analyst

BNY Mellon India
09.2020 - Current
  • Review electronic communication surveillance alerts.
  • Help team members resolve queries related to escalations and draft escalation emails.
  • Work with stakeholders on transitioning to the new surveillance application, Behavox.
  • I worked on the administrative task of on boarding over 300 users in Behavox.
  • Provided training to team members on Smarsh and Behavox.
  • Work on alerts and provide findings related to MNPI, wall crossing, and deal information shared.
  • Provide lexicon refinements to the technology team to receive quality alerts.
  • Worked with stakeholders to investigate any breaches.
  • Build and update policies and procedures documents.
  • Checks for fraudulent activities by employees related to personal account dealing, G&E, travel and expenses, data leakage, market abuse, and conduct.
  • Provide detailed reports on fraudulent activities after appropriate investigation.
  • Worked on JIRA, Word Watch, SMARSH, and the e-discovery system.
  • Ensures that existing business practices and procedures are documented.
  • Worked on KPIs and KRIs.
  • I trained 90% of the people on my team.

Compliance Team Lead

J.P Morgan
06.2019 - 09.2020
  • Investigation of triggered cases in electronic communication tool-related fraud committed by employees.
  • Investigation related to employees having businesses outside the organization, or dealings related to trades.
  • Check in alerts if the employee has disclosed their trading account with the appropriate team.
  • Identifying suspicious activity related to material non-public information, wall crossing, data leakage, trade, anti-bribery and corruption, or any fraud committed by employees.
  • Allocating cases on a daily basis and reporting daily counts of cases.
  • Addition and termination of lexicons.
  • Performing internal QA for team members.
  • Interfacing with relevant stakeholders to review and escalate potential compliance issues.
  • Assisting with the analysis and implementation of new and enhanced surveillance reviews and processes.
  • Conducting routine reviews and ad hoc reviews of employee e-communications.
  • Analysis of e-communications to identify unusual activity and potential compliance issues.

Compliance Analyst

UBS Pune
08.2016 - 05.2019
  • Analysis of triggered cases in the electronic communication application.
  • Identifying suspicious activity related to data leakage, trade, bribery, complaints, and different categories.
  • Checked that all controls are in place related to wall crossing, deals, private side to public side movement, and that all attestations and certifications are completed.
  • Performing a review of Benchmark submitters, Yield broker, and Corporate Client Solution.
  • Document it with proper annotations.
  • Enablement of the department for monitoring.
  • Sending queries to employees and management staff related to discrepancies in disclosure related to personal account dealing, external directorship positions, and incoming and outgoing gifts.
  • Allocating cases on a daily basis, and reporting daily alert counts and volumes.
  • Addition and termination of lexicons.
  • Performing internal QA for team members
  • Performing extra research on escalated alerts and concluding it to be a true or false hit.
  • Collaborating with different teams in different locations for cases triggered related to G&E, External Directorship Position, and Personal Account Dealing.
  • Investigation of employees related to any trading activity, and helping them to take preclearance.
  • Have a control check on employees taking approval before trading, and trading is executed within the specified time.

Analyst

Wipro
11.2015 - 08.2016
  • Responsible for the reconciliation of finance data and risk data as per the requirements of Basel III norms.
  • Inquire about the breaks between the two data sets of positions with different sources, such as MRR, PC, CRO IT, etc.
  • Reporting of any breaks remains unresolved at the end of the cycle.
  • Working in SQL, accessing the database.
  • Working for products like OTC derivatives, exchange-traded derivatives, loans, securities financing, trading inventory, issued debt, and insurance.

Operations Executive

BNY Mellon India
06.2013 - 09.2015
  • Reconciling the investment manager data and matching the NAV value.
  • Maintaining the SLA for clients, which includes no leaves in the first 10 business days.
  • Reconciling the pension accounts held by the Government of Canada.
  • Reconciling the shares, bonds, and cash in investments.
  • Tracking the exceptions and investigating Notional, Price, Market Value, and Accruals.
  • Interacting with the onshore team and resolving the queries of team members.
  • Maintaining a good relationship with team members for a smooth flow of business.
  • Flexible for the shift timings.
  • Interacting with the Investment Manager from all over the world for data and information required for reconciliation.

Education

MBA -

JSPM
08-2013

Skills

  • Key performance indicators
  • Stakeholder management
  • Report generation
  • Dashboard creation

Accomplishments

  • Received many award for multiple projects that I have worked on like lookback and onboarding Behavox

Timeline

Lead Analyst

BNY Mellon India
09.2020 - Current

Compliance Team Lead

J.P Morgan
06.2019 - 09.2020

Compliance Analyst

UBS Pune
08.2016 - 05.2019

Analyst

Wipro
11.2015 - 08.2016

Operations Executive

BNY Mellon India
06.2013 - 09.2015

MBA -

JSPM

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Peresa P. Makasare