Summary
Overview
Work History
Education
Skills
Languages
Timeline
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SAJU UNNI

Bangalore

Summary

Resourceful vice president with several years of results-oriented experience in business intelligence and operations management. Culturally-sensitive and ethical professional with demonstrated success in developing and implementing optimized solutions. Versatile leader recognized for driving results in collaborative, inclusive manner.

20+years’ experience in Banking and Financial Services, with proficiency in Cross-functional roles, Risk and controls, Audit, Legal Entity Controller, Regulatory Reporting, Entity rationalization as part of Recovery and Resolution, New Business Initiative and SOX / CCAR testing. Adhering to various standards, accounting policies, IFRS, MAS and US GAAP.

My endeavor is continuous learning and improving my skill set while contributing my expertise to the organization.

Overview

21
21
years of professional experience

Work History

VP Risk and Control Finance Controller

J. P Morgan Chase Bank (Bangalore)
Bangalore
01.2019 - Current
  • Daily reviewing and analyzing existing risks in LEC functions and implementing controls to mitigate the risks for Asset and Wealth Management Line of Business
  • Validating the ROCC (Revenue over Cost Center) number for the month and review the variance analysis with Product Controllers and Business
  • Ensuring team completes the Month End activities and books are closed appropriately wile adhering to the LEC standards
  • All monthly, quarterly, and annual reg reporting submission are reviewed and signed off in the tool
  • Evaluating the results of Risk Control Self- assessment upgraded to Control and Operational Risk Evaluation on a quarterly basis for process which are classified as high-risk activities
  • Discussing actionable items with key stakeholders and setting up deadlines to achieve plan of action
  • Evaluating acceptance criteria for QA, SOX CCAR testing
  • Collaborate with various line of business and sharing best practices
  • Consult, work with, and service extended team to make recommendations on business and process improvement and serve as a business advisor to extended team
  • Provide on the job training and coaching to audit teams
  • Facilitate and lead the trainings
  • Manage, develop, train, and mentor staff on projects
  • Effective manage escalation emails and calls
  • Preparing narratives for business functionalities where the business requirements will be explained in detail
  • Attend professional development, networking events and training seminars on a regular basis
  • Adhere to the highest degree of professional standards and strict client confidentiality
  • Manage multiple audit assignments simultaneously and completing priorities by leading and collaborating with diverse teams
  • Perform and conduct detail review of work.

AVP Risk and Control Finance Controller

J. P Morgan Chase Bank (Bangalore)
Bangalore
09.2016 - 12.2018
  • Focus on the audit quality agenda and includes day-to-day responsibility for using technical knowledge and practical experience to support and oversee the development of audit work papers, guidance training materials, case studies, and working paper examples in critical areas
  • Maintain active communication with extended teams to manage expectations
  • Two Onsite travel for Migrations of process from US to India 2017 and 2018 respectively (Valid H1B Visa July 2027)
  • Provide on the job training and coaching to audit teams
  • Facilitate and lead the trainings
  • Manage, develop, train, and mentor staff on projects
  • Manage escalation emails and calls
  • Discussing actionable items with key stakeholders and setting up deadlines to achieve plan of action
  • Data consolidation and validations of data and ensuring the report (14M and 14Q CRE) is filed as per FED guidelines
  • Worked on different aspects of audit like strategy, planning, risk assessment, financial statement analysis
  • Worked on control testing as per COSO framework
  • Subject matter expert on control testing through its life cycle as per US GAAP and SOX
  • This involved identification of control, process walkthrough for testing design and operating effectiveness and preparing and presenting the report to the senior management
  • Created a detailed documentation and working papers to support the audit findings
  • Cross trained and educated the team members to ensure that there is no single person dependency and seamless delivery
  • Developing and delivering training material for the team
  • Organizing multiple teams building events and acting as a committee member for philanthropic activities.

Sr. Associate- (Oct 2015- Sept 2016)

GOLDMAN SACHS INDIA PVT LTD
Bangalore
10.2015 - 09.2016
  • Data consolidation and validations ensuring the various reports (FR Y 9C, FR2314,14M and 14Q CRE) is filed as per FED guidelines
  • Validating the Probability of Default, Loss given Default, exposure of default for 1,2 first lien family Mortgage loans
  • Identifying and mitigating risks, deploying control enhancements, and strengthening process flows
  • Designing user interface with an objective of creating an intuitive application for the benefit of end user
  • Interacting with the technology team and addressing their queries
  • Analyze, highlight issues, and discuss the best possible approach for developing these functionalities in the new application.

Associate- Project Role (Jan 2013- Sept 2015)

GOLDMAN SACHS INDIA PVT LTD
Bangalore
01.2013 - 09.2015
  • Process automations with IT to reduce manual journals posted by controllers in general ledger
  • Identifying and mitigating risks, deploying control enhancements, and strengthening process flows
  • Ensuring team meets month close deadlines on a timely manner
  • Management reporting.

Associate (Jan 2011-Dec 2012)

GOLDMAN SACHS INDIA PVT LTD
Bangalore
01.2011 - 12.2012
  • Perform end-to-end accounting for Goldman’s biggest broker dealer (GS International, GSI)
  • Serving as a one-point contact (Legal Entity Controller) for teams across divisions and regions (IT, Operations, Product Controllers, Treasury)
  • Working with treasury to open bank accounts, Mapping GL accounts (to identify operating vs
  • Segregated cash)
  • Management reporting of various Inter-company & External balances to FED, Corporate Treasury and FS&A
  • Performing daily reconciliations of Inter-company balance before cash settlement and cash management
  • Perform month-end closing activities (trial balance analysis, investigating and reconciling inter-company and sub ledger vs
  • General ledger breaks, bank reconciliations)
  • Performing quarterly reporting for external loans for fed reporting
  • Regulatory reporting - Country Exposure Report, Fed Forms.

Technical Specialist (Jan 2008-Dec 2010)

GOLDMAN SACHS INDIA PVT LTD
Bangalore
01.2008 - 12.2010
  • Ensure receivables / payable balances have been accurately reflected in the Firm books and records
  • Management reporting for receivables / payable balances
  • Additional responsibility for cleanup of OTIS entries charged to P&L accounts
  • Reviewing of documentation of various processes within Accounting Services Department to meet Bank Holding Company Standards
  • Completed various cross-divisional user acceptances testing for PSAP to ensure compliance with internal and external regulations
  • Researching and analyzing the current process of reconciliation, proposing areas for improvement, and develop action plan to be shared and reviewed by direct manager
  • Monitoring, and delegating the work flow within the team, ensuring that all the global reconciliation is allocated to the requirements of the business and escalating any concerns to Management.

Senior Analyst (Dec 2005-Dec 2007)

GOLDMAN SACHS INDIA PVT LTD
Bangalore
12.2005 - 12.2007
  • Assisting Account receivable team with invoice booking and monitoring settlement of receivable and review of aged balances and provisioning thereof
  • Performing quarterly balance sheet substantiation process that involves creating account level ownership, detailed examination and signing off on the validity of the balances by analyzing their correctness
  • Associated with the Risks within the process of invoice payments and ensure our receivables are accurate and reported to the management on a timely manner.

Analyst (Mar 2003-Nov 2005)

HSBC DATA PROCESSING INDIA PVT LTD
03.2003 - 11.2005
  • Customer service & execution
  • Training, mentoring, and handling escalations
  • Nominated by Senior Management to revamp the customer verification and process flow.

Education

MCA -

Madras University

B.Sc. Math’s, Statistics and Computer Science -

Andhra University

PMP certified -

Skills

  • SOX & CCAP
  • Auditing
  • Control and Operation Risk Evaluation
  • Legal Entity Controller
  • Regulatory Reporting
  • Inter Affiliate Agreement
  • Onsite migrations
  • Communication
  • Recovery and Resolution
  • Knowledge of SAP, People Soft and Hyperion
  • MS Office
  • Green Belt Certified
  • BI Tools (Tableau and Alteryx)
  • Cross Functional
  • Leadership
  • Interviewing and Onboarding
  • People Management
  • Coaching
  • Mentoring
  • Diversity Equity and Inclusion
  • Positive Attitude
  • Ownership and Accountability
  • Goal Oriented
  • Flexible and Adaptable
  • Quick Learning
  • Teamwork

Languages

  • English, Fluent
  • Hindi, Fluent
  • Malayalam, Medium

Timeline

VP Risk and Control Finance Controller

J. P Morgan Chase Bank (Bangalore)
01.2019 - Current

AVP Risk and Control Finance Controller

J. P Morgan Chase Bank (Bangalore)
09.2016 - 12.2018

Sr. Associate- (Oct 2015- Sept 2016)

GOLDMAN SACHS INDIA PVT LTD
10.2015 - 09.2016

Associate- Project Role (Jan 2013- Sept 2015)

GOLDMAN SACHS INDIA PVT LTD
01.2013 - 09.2015

Associate (Jan 2011-Dec 2012)

GOLDMAN SACHS INDIA PVT LTD
01.2011 - 12.2012

Technical Specialist (Jan 2008-Dec 2010)

GOLDMAN SACHS INDIA PVT LTD
01.2008 - 12.2010

Senior Analyst (Dec 2005-Dec 2007)

GOLDMAN SACHS INDIA PVT LTD
12.2005 - 12.2007

Analyst (Mar 2003-Nov 2005)

HSBC DATA PROCESSING INDIA PVT LTD
03.2003 - 11.2005

MCA -

Madras University

B.Sc. Math’s, Statistics and Computer Science -

Andhra University

PMP certified -

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