Shahista Lopez

• Responsible for the India Risk and Compliance Meeting.
• Responsible for the Legal Entity BCP Steer's Meeting.
• Representing the legal entity in the Executive Advisory Committee Meeting.
• Presenting the Risk Dashboard Metrics for Quarterly Board Meetings.
• Responsible for action plan remediation for MRA and MRI for legal entities for operations and technology.
• Driving risk programs - RCSA, Control Testing, Control Assurance Program, and Targeted Risk Assessment from the 2nd and 1st lines of defense.
• Operational Key Risk Indicators.
• Spearheading the Integrated Risk Assessment Programs.

Annual Due Diligence of the Finance, Risk, IT, and HR Functions.

• Planning a Risk Excellence Campaign to strengthen the Risk Culture.
• Risk Control Self-Assessment for both ERM and Compliance.
• Corporate Compliance Oversight Program.
• Point of contact for Audit and Compliance for SOC1
• Responsible for ensuring issue remediation and action plans for Archer issues related to control deficiencies to bring them to closure in coordination with the Operations and Technology Team.
• Preparing the Technology Risk Dashboard for legal entities for the Board/APAC Regional Meetings.
• Recruited, trained, supervised, evaluated and mentored staff members.
• Created detailed plans outlining timelines, goals, budgets, staffing needs and other requirements for projects.
• Prepared presentations for board meetings summarizing key developments within the company.

• Heading the India Operation Risk and Regulatory Control Team for operational risk & compliance governance processes (Risk Monitoring, Policies & Procedures, Balance sheet Substantiation, Change Management, Global Controls Operations Sub-ledger Operations)
• Extensive Compliance and Audit Reviews, Control Framework, Project Lead for governance and control
• Engaged in Transition & Location Strategy for India ORRC Team
• End of Life Governance Framework, policies and controls procedures, system, and reporting tool
• Risk and Compliance Framework and Implementation

• Account Owners of Balance sheet accounts
• Analysing, investigating, and explaining key movements and trends in major P&L lines
• Preparation of various P&L & Headcount reports and ensuring timely adherence to deadlines
• Monthly variance reporting and reporting of any issues, risks, Flash reporting (pre-month end estimates of expenses)
• Trend Analysis & providing commentaries for Month on Month expenses for Citi Products (Accounts Payables, Compensation, Travel, Procurement etc)
• Reviewing financials daily during the month-end period and reporting issues to finance management, comparing Actual to plan/ forecast/ prior period to ensure correct month-end close & investigating unusual postings and/ or escalating with Countries

• Company Overview: (Affiliate of Deutsche Bank)
• Legal Entity Controlling Division for Head Office (Germany)/ Reference Data (Manila)Global Performance Management (COO)
• Exception Management Team- Legal Entity Controlling
• Financial & Management Accounting (Team Size – 14)
• Deputed to Deutsche Bank AG, Germany to transition various roles, handled 8 transitions
• Ensuring revenue booking like Interest, Commissions, and other incomes in SAP ledgers on daily basis
• Month end Reconciliations & daily clearing of interest breaks, identification & notifying to the onshore
• Closely monitor month end sign off process of Legal entity, identifying and getting fix data quality issues in terms of reporting on financials
• Adjust journal entries to close the books monthly
• Present to senior stakeholders & Senior Management on monthly financials
• 4 eye and Superview Review for monthly adjustments and submissions ahead of submissions
• Liaising with Migrations/ Control team for the following: Knowledge transfer plan (New migrations), maintaining Risk Indicator Matrix, BCP testing, KPIs, changes in process documentation for the team
• Handling various projects in DBOI Bulk Uploads in SAP, SAP Extraction, Macros, and EUDAs
• (Affiliate of Deutsche Bank)

• Affirmation of Interest Rate Swap Trades
• Transition the process from Delaware, US in September 2006
• Responsible for handling the accounts for some of the Top 5 Clients with huge outstanding – Goldman Sachs, Deutsche Bank, Citibank
• Affirming trades before T+30 and escalating any deal to management that would roll to a higher age
• Drafting confirmations for the CDS trades between broker dealers and other hedge funds
• Migrated this process from New York, US in September 2005
• Confirming trades between counterparties & J.P
• Morgan
• DTCC : Confirming of CDS trades on DTCC, Chasing counterparties for the trade breaks, Management of Alleges sent by the counterparties

• Portfolio Management Services