PRUTHVI RAJ

IB&M - Institutional Banking & Markets

• Transitioning to PACE-Agile way of working - X-Regulations - X-ASsset class - CTB Projects
• Performing root cause analysis on exceptions with ability to investigate & manage escalation of any significant issues found through testing, rejection remediation or any other stream to senior management to ensure transparency exists in our controls.
• Working closely with our technology development teams to design system solutions, the aim to automate as much of the exceptions process as possible.
• Maintaining documentation, including changes in regulations, new regulatory requirements, changes in internal processes and requests to support the business
• Overseeing the exception management of trade and transactions submissions under all applicable reporting jurisdictions
• Maintain our reporting integrity and compliance with the regulations by highlighting any gaps or errors in the systems or trade logic and actively look to improve/develop them further

RCP - Regulatory Operations Analyst

• Deals with Processes required to comply with various regional regulations in OTC Derivatives Space Ex: DFA, SBSR, TRACE etc.
• Deals with post reporting controls to identify Regulatory reporting anomalies & rectify issues in Co-Ordination with technology team, In addition team responsible to manage daily reporting activities for the respective regulators.
• Support design and conceptualization of new business solution options and articulates identified impacts and risks.
• Raising and escalating any breaches in regulatory reporting on time
• Maintaining documentation, including changes in regulations, new regulatory requirements, changes in internal processes and requests to support the business

TTRO - RTB - CAT

• Good Understanding of CAT Regulation and being SME in Process
• Work on Daily Metrics improvements and SLA's
• Enhanced engagement with Technology & Compliance team to drive ownership, accountability & greater transparency.
• Timely updates on Procedure Documents and changes
• Exceptional Management flow F2B Structure
• Taking initiatives and drive projects and being so proactive in resolving and escalating issues and defining solutions
• Helping onboard new team members with process training, system accesses
• Being able to handle team when short staffed
• Identifying any process gaps and define solutions - Process Improvement
• To Participate in team building and other organizational events
• Organizing and participating in various activities/celebrations to boost the team morale and motivation

Regulatory Reporting Team - OTC Credit

• Deals with Processes required to comply with various regional regulations in OTC Derivatives Space Ex: DFA, EMIR, HKMA, MAS etc.
• Deals with periodic post reporting controls to identify Regulatory reporting anomalies & rectify the issues in Co-Ordination with technology team, In addition team responsible to manage daily reporting activities for the respective regulators.
• Contribution and implemented action from Paris Projects and Work towards implementing Regulatory Changes Few such Examples are on BREXIT, DTCC NOA Re-arch, DTCC EMIR RTS 2.0.
• Assisting managers and Senior management with data for management decisions
• Exposure to Credit risk in products and services for Financial Institution.
• Providing business test cases and conducting User Acceptance Test to validate changes in IT system which would impact regulatory requirements.
• Collaborate with onshore partners for implementation of various regulatory topics.
• Automation and streamlining of Regulatory Reports such as – TUB_129 (Italian Report)
• Recognized Best performer for Commitment and Responsibility towards given project.
• Automation and streamlining of Regulatory Reports such as – LTR/OCR, EMIR Manual Report.

GSAM Operations Team: Portfolio and Data Control, OTC Derivatives

• Reconciliation with internal and external counter party's -
• Understanding of module/product type which systems to be used under SVS (strategic verification system)
• Additional responsibility: Handling of Email which are sent internal and external by group email box.
• Attending various Kind of Online session (GSU) where I can improve in every and perform well in job.