Saee Bhalekar
Navi Mumbai
Summary
Seasoned Professional with over 7 years of experience in the Investment Banking operation (Reference and Static Data Management). Specific 1.5 years of experience as a Compliance and Operational Risk Specialist. Focusing on SOX relevant controls for various streams of business in UBS and providing insights and recommendations to enhance control framework, mitigate risk and optimize business processes. My leadership in stakeholder management and process optimization, alongside a keen ability for risk assessment, positions me as a dynamic force in business assurance and control testing.
Overview
8
8
years of professional experience
Work History
Authorized Officer - C&ORC Business Senior Tester
UBS Business Solutions India Pvt Ltd
05.2024 - Current
- Perform design effectiveness (DE) and operating effectiveness (OE) testing as per the agreed methodology for SOX controls.
- Provide insight and and recommendations to enhance control frameworks, mitigate risk and optimize business processes.
- Support internal and external stakeholder to understand reported control deficiencies and risk related to it.
- Perform quality checks for design effectiveness and operating effectiveness for peers.
- Report weekly statics of control deficiencies identified by the team to operational risk mangers.
- Host walkthrough calls for newly introduced controls or controls where process has been changed and proceed with DE and OE testing of the control.
Employee - Account Data Management
UBS Business Solutions India Pvt Ltd
09.2020 - 08.2023
- Migrated and created a centralized hub for all Account Data Management activities across regions and products in India.
- Perform day to day reconciliation of static account data and account status of various downstream systems with a central system.
- Identifying process gaps between regions for similar products and standardizing process.
- Working closely with Automation team for design solutions to promote process efficiencies through Alteryx and Robotics.
Associate Level 1 - Wealth Management
BNP Paribas India Solution Pvt Ltd
08.2019 - 08.2020
- Analyzing trade restriction on accounts and ensuring no unauthorized trades pass through.
- Link clients to banking services, determining and updating risk profiles of a client.
- Preparing regular reports for management review.
Transaction Processing Senior Associate
Accenture Solutions India Pvt Ltd
04.2017 - 07.2019
- Performing periodic reviews on clients to check for any activities related to money laundering.
- Identifying merger and acquisitions of clients and escalating to business for new client adoption if deemed necessary.
Education
Bachelor of Management Studies -
University of Mumbai
Skills
- SOX 404
- Internal Audit
- Control Testing
- People management
- SOX Business Testing
- Stakeholder management
- Risk assessment
Timeline
Authorized Officer - C&ORC Business Senior Tester
UBS Business Solutions India Pvt Ltd
05.2024 - Current
Employee - Account Data Management
UBS Business Solutions India Pvt Ltd
09.2020 - 08.2023
Associate Level 1 - Wealth Management
BNP Paribas India Solution Pvt Ltd
08.2019 - 08.2020
Transaction Processing Senior Associate
Accenture Solutions India Pvt Ltd
04.2017 - 07.2019
Bachelor of Management Studies -
University of Mumbai
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