Prakhar Gupta

DDS Markets:

• Managed and reviewed ISDA Master Agreements and Credit Support Annexes (CSA), and supported EMIR compliance across trade reporting, reconciliation, valuation, and risk mitigation obligations for OTC derivatives.
• Coordinated with Legal and the Front Office to ensure timely execution, amendment, and remediation of ISDA/CSA documentation in line with regulatory requirements.
• Worked mainly in the Protocol Team, which includes 12 Protocol Titles depending on the ISDA agreement based on the country the client wants to trade in, either bilaterally or via adherence over Markit.
• Oversaw initial and variation margin processes, ensuring accurate collateral calls, dispute management, and adherence to regulatory timelines.
• Assisted in EMIR Refit implementation, including regulatory change analysis, impact assessments, and updates to internal policies and procedures.
• Conducted periodic controls testing and compliance monitoring to identify gaps, and support internal audits and regulatory examinations.
• Acted as a key liaison between the Risk, Compliance, Operations, and Regulatory Reporting teams to resolve trade and reporting exceptions.
• Maintained documentation and evidence for regulatory audits and inspections, ensuring transparency and traceability.

DDS Payments:

• Experienced in the documentation and review of Board Resolutions, Business Signature Cards, and Electronic Payment Signatory Forms (EPSF).
• Experienced in the documentation and review of Board Resolutions, Business Signature Cards, and Electronic Payment Signatory Forms (EPSF).
• Worked in two regions: APAC and EMEA, with fourteen countries under it.
• In APAC, I worked under the Client Service Team with direct interaction with clients over emails, telephone calls, and Zoom discussions.
• Worked on various request types, such as Account closure, Security Administrator Designation Form, Callback, Signer addition/deletion, Speration contact update, Third-party access, PayNow, e-advice setup, Legal name change, and Address change.
• Review documents like passport, utility bill and ensure that all the required details are present as per the branch mandate.
• Identify all 14 countries' regulations on the open websites and in some JP Morgan proprietary tools.
• Analyze the required and mandatory verbiage as per the required request type, with the involvement of the legal team wherever necessary.

• Conducting desktop-based research using a combination of specialist tools such as World Compliance, Lexis Nexis, World Check, designed for background verification on clients in accordance with regulatory and KYC requirements.
• Experienced in AML and KYC in PEP, and sanction screening.
• Identifying regulatory risk - such as Anti-money laundering (AML), Foreign Corrupt Practices Act, UK Bribery Act Compliance.
• Responded to requests for information regarding appropriate documents by conducting the necessary client background review for Low/Medium/High risk clients.
• Identifying common red flags for the individual who commit typical frauds, the accidental fraudster.
• Assessment of target entities' involvement in legal proceedings through online legal databases such as Indian Kanoon, Supreme Court etc.
• Performed screening of client and all related parties against relevant screening tools with the view to identify PEP and /or adverse news.

• Part of the corporate team dealing with general corporate matters and intellectual property cases.
• Researched and prepared a note on private placement, issue of bonus shares, filing for trademark infringement.