Prekshi Gupta
New Delhi
Summary
Finance and Controllership leader with 16+ years of global experience spanning regulatory reporting, capital adequacy, financial operations, governance, and risk management. Proven expertise in inter-company accounting, financial disclosures, and internal controls for global banks. Strong track record of leading large teams, partnering with senior stakeholders, and driving process transformation, automation, and compliance with frameworks including Basel, PRA, CRD IV, and IFRS. Adept at delivering financial integrity, operational excellence, and strategic business insights in high-pressure environments.
Overview
18
18
years of professional experience
Work History
Vice President, Band 4 – Project Manager (GSIB)
HSBC Electronic Data Processing India Pvt Ltd
01.2025 - Current
- Designed and executed the global project roadmap for GSIB reporting, engaging upstream data providers and senior stakeholders.
- Oversaw project governance, risk mitigation, and stakeholder management to ensure on-time delivery of financial reporting projects.
- Enhanced collaboration across Group Finance, Risk, and Technology teams to deliver sustainable solutions and reporting integrity.
- Identifying potential risks, developing mitigation plans, and addressing issues as they arise.
- Delivered actionable insights by applying a strong control mindset, enabling data driven decision-making across teams.
Vice President, Band 6 – BI Product & Fin Risk SME (NAPA)
Barclays Shared Services Pvt Ltd
11.2023 - 12.2024
- Strengthened controllership and governance frameworks, reviewing and challenging new product proposals to ensure alignment with regulatory and risk standards.
- Led control testing, RCSA assessments, and remediation planning to mitigate operational risks and enhance overall control effectiveness.
- Partnered with Finance, Risk, and Treasury stakeholders to improve compliance with internal control frameworks, resulting in measurable risk reduction.
- Championed process improvements and automation of review procedures, boosting efficiency across due diligence and reporting workflows.
- Preparing the committee slides for NAPAs due to be presented to the committee members.
- Challenging stakeholders to enhance their due diligence on NAPA proposals.
- Identify opportunities to build efficiencies in the review and challenge processes.
- To help assess the integrity and effectiveness of internal control framework to support the mitigation of risk and protection of banks NAPA Framework
Vice President, Band 6 – Regulatory Reporting
Barclays Shared Services Pvt Ltd
04.2020 - 10.2023
- Directed end-to-end COREP, Pillar 3, IMS, QIS and ICAAP reporting processes, ensuring timely and accurate submission to regulators.
- Implemented Basel IV and PRA regulatory changes through system testing and change management, ensuring compliance with evolving frameworks.
- Spearheaded governance and control forums across capital reporting, driving accountability, issue resolution, and audit readiness.
- Led cross-functional automation initiatives reducing manual reporting effort and improving data accuracy and control.
- Assisting the team with recent Basel IV changes and performing end to end testing to incorporate the same i.e. manage or contribute to business change request.
- Participating in DOD forums across portfolios to bring the DOD changes live from Jan, 2022 which involves performing end to end testing within internal systems like GCR, SAP & Axiom and providing the sign off to senior management.
- Assisting the organisation with S166 reviews by developing appropriate governance within processes, enhancing the control check points of master data, performing end to end IFF testing, ensure the availability and supporting rationale behind any key interpretations and judgement around regulatory returns, provide details of material reporting errors, articulate remediating actions around reporting errors, performing end to end reconciliations across system before submission of regulatory reports.
- Ensuring all Processes/submissions are EUDA complaint.
- Help to lead & support effective governance and controls across portfolios and document the same via I&J, IMA, ORRAC, DR forums with proposed solutions to the management.
- Assisting the team with BIA Audit and ensuring the closure of issues via implementation of suggested management action.
- Review the NAPA proposals sent across and ensure they are implemented without any undue risk, and they meet all criteria for regulatory reporting.
- Ensuring the PIAs for NAPAs are approved timely and raise PIA action if any to mitigate any risk/issues identified under review.
- Leading the control and governance forums across capital reporting on a monthly basis and ensure all actions/issues are identified and closed in a timely manner.
- Working across function as a guest reviewer across the CLD Programme for GAP portfolio.
Assistant Vice President, Band 5 – Regulatory Reporting
Barclays Shared Services Pvt Ltd
06.2016 - 03.2020
- Managed regulatory reporting for four clusters across Barclays, ensuring compliance with PRA and EBA requirements.
- Directed production, collation, and delivery of COREP returns, Pillar 3 disclosures, and internal reports.
- Implemented process improvements and reconciliations across finance and risk, strengthening data quality and governance.
- Redesigned risk-to-finance reconciliation framework, increasing accuracy and control over reporting outputs.
- Adherence of BCBS 239 and keeping Audit Trails and records.
- Review of activities performed by the team including month close activities, reporting of open items, escalations etc.
- Weekly/monthly calls with financial controllers/SBUs to share pre and post month processes updates, discussing open issues with plan of actions.
Assistant Manager, Band 4 – Regulatory Reporting
Barclays Shared Services Pvt Ltd
03.2012 - 05.2016
- Transitioned and stabilized UK regulatory reporting processes, ensuring compliance with Basel rules and capital adequacy requirements.
- Supported end-to-end regulatory returns, variance analysis, and reconciliations, enhancing reporting accuracy.
- Automated multiple reporting processes, reducing manual effort and strengthening audit compliance.
- To maintain the existing BASEL rules in the system and address the queries on the RWA variance.
- Run the scenario analysis in a different environment to provide the RWA impact for the expected changes in the regulatory polices to the Production team and liaise for the approvals before updating the changes in the live production data.
- Preparing the principal DATA Set Analysis for various clusters across Barclays and ensuring the timely sign off by Cluster Level Heads (Band 7 and above)
- Training the Team Support Specialist (Band 3) on the Regulatory processes for various clusters across Barclays.
- Cleared White Belt Training successfully by automating Pillar 3 process and saving 90% of the effort required by a FTE to perform this assignment.
Team Support Specialist, Band 3
Barclays Shared Services Pvt Ltd
03.2011 - 03.2012
- Delivered MI packs and financial control reports for CFO attestation, supporting governance and compliance.
- Operation and maintenance of the 3025 FC Framework and monitoring compliance with monthly/quarterly framework cycle for all relevant business areas with set policies and procedures
- Provide expertise to build, maintenance and support of Management information used by the 3025 FC Framework and across the various business clusters in the Group.
- Preparation of all relevant documentation for the 3025FC/BAU Team Leader for their regular meetings with Business Process Owner
Research Analyst Grade II
Capital IQ
12.2007 - 03.2011
- Led a team of five analysts, ensuring data quality and consistency for global financial clients.
- Conducted financial research, analysis, and reporting for investment firms, hedge funds, and banks.
- Developed QA processes and guideline documents, improving accuracy and turnaround time.
Education
CA (Inter) -
ICAI
Indian Institute Of Charted Accountants01.2008
B.Com (Hons) -
Gargi College, Delhi University
01.2007
CBSE Class XII - undefined
St. Anthony Sr. Sec School
01.2004
CBSE Class X - undefined
St. Anthony Sr. Sec School
01.2002
Skills
- Regulatory Reporting (COREP, Pillar 3, ICAAP, QIS, PRA, CRD IV, Basel IV)
- Financial Controllership & Governance
- S166 & BIA Audit
- Financial Systems (Axiom, SAP, MS Office, Advanced Excel)
- Internal Controls & Risk Management (RCSA, SOX, EUDA)
- Process Transformation & Automation
- Stakeholder & Regulatory Engagement
Timeline
Vice President, Band 4 – Project Manager (GSIB)
HSBC Electronic Data Processing India Pvt Ltd
01.2025 - Current
Vice President, Band 6 – BI Product & Fin Risk SME (NAPA)
Barclays Shared Services Pvt Ltd
11.2023 - 12.2024
Vice President, Band 6 – Regulatory Reporting
Barclays Shared Services Pvt Ltd
04.2020 - 10.2023
Assistant Vice President, Band 5 – Regulatory Reporting
Barclays Shared Services Pvt Ltd
06.2016 - 03.2020
Assistant Manager, Band 4 – Regulatory Reporting
Barclays Shared Services Pvt Ltd
03.2012 - 05.2016
Team Support Specialist, Band 3
Barclays Shared Services Pvt Ltd
03.2011 - 03.2012
Research Analyst Grade II
Capital IQ
12.2007 - 03.2011
CBSE Class XII - undefined
St. Anthony Sr. Sec School
CBSE Class X - undefined
St. Anthony Sr. Sec School
CA (Inter) -
ICAI
B.Com (Hons) -
Gargi College, Delhi University
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