SHAILJA AGARWAL
Operation Risk/Internal Controls/BCP
Bangalore
Summary
With over 9+ years of experience as an Associate, specialized in BCP Process, Operation risk, Client service, Controls auditing and reporting. Proficient in team management, fostering a positive work environment and approaching queries with constructive problem-solving, utilizing knowledge, data, and available resources. Interested to take on challenging opportunities in a fast-paced environment, leveraging my multitasking and administrative skills to effectively manage organizational resources while continuously enhancing my capabilities.
Overview
10
10
years of professional experience
2
2
years of post-secondary education
Work History
Associate
Wells Fargo (EGS) India Pvt Ltd.
02.2022 - Current
- Developing dashboard in powerbi for reporting purposes related to BCP (Business Continuity Planning)
- Highlighting the key risk areas which gives the resiliency officers an overview of their past due items and upcoming areas of concern so they can action on a timely manner
- Setting up calls with senior management to prepare new dashboard to represent data in a required manner for reporting purposes
- Preparing reports across different dates in a month to meet the deadline
- Reconciliation and comparison of reports from past to present month to analyze and highlight the old items vs the new items for the upcoming month
- EUCT process helps in checking the controls present across the different tools in the firm
- The first line of defense under internal audit which helps in identifying the gaps in the registered tools and mitigating those risks by complying to the same
- Setting up calls with multiple teams to explain the controls which are missing and understanding the reason and fixing the same within a strict deadline
- Preparation of tracker to keep a track of the multiple tools which needs to be completed in a specific time period
- In depth analysis of the tool with regards to controls present in comparison to policy and procedures
- Weekly call with the stakeholders for understanding the changes related to controls
- Assisting teams to identify if the process qualifies as EUCT or NON EUCT
- Led the Training project and onboarding for the new joiners
- Conducted Knowledge sharing sessions
- Collaborated with different location partners in organizing various events and engaging activities
Associate -2 (WIM & GORR)
Morgan Stanley
06.2017 - 02.2022
- Responsible for trade booking and settlement of all the trades related to MF & HF and funding the cash to the agent
- Cancel and correcting the trades to provide the correct price, quantity and notional on the trade for the buy and sell transactions which releases the client confirms and reflects on the client monthly statement
- Reconciliation of all the cash and stock movement from firms' perspective versus external agent on a daily basis to ensure corrective reporting additionally monitoring discrepancy to determine client money impact and access if any client lock up is required
- Balance sheet Substantiation and preparation for month end reports and highlighting Key Risk indicators to the management
- Part of global regulatory reporting centralized team responsible to work with Global GORR leads and Risk managers to review and improve the control environment via multiple work streams and initiatives for regulatory risk, governance and surveillance
- Prepare reports of Issues and Actions Plans as part of Closure Verification of the Action plans of Issue management process
- Prepare global and regional Steerco governance decks for Senior Management and risk leads to present Key Risk Indicators/Key Performance indicators (KRI-KPI) Including the analysis, exception management, Regulatory Reporting Incidents, Issues and Action Plans
- Track Regulatory and Near-Miss Incidents to determine root cause, control breakdown, impact and preventive actions are properly captured and produced various metrics to the Senior Management on monthly basis
- Participated in various short and long term strategic and tactical projects in an effort to reduce risk
Analyst
Goldman Sachs
06.2015 - 06.2017
- Broker billing is the monthly settlement process in securities lending to settle rebates and non-cash premiums with borrowers for loans that were open during the previous month
- Handling the Fees and Rebates billing team under the securities operations division
- Handling sensitive and complex client transactions for stock borrow/lending activity
- Balance Sheet Substantiation of General Ledger accounts, preparation of month end reports
- Ensured smooth settlement on the back of critical deals executed by trading desk and managed the process during people move, seasonal volumes and other ad-hoc issues
- Facilitating smooth cross region handover of critical functions to ensure business plan continuity
- Managed relation with Asian sensitive clients
- Managing Analysts, training new joiners and ensuring that the team achieved targets on a timely manner
Education
MBA - Finance
ITM College
Mumbai 01.2013 - 04.2015
Skills
Business continuity planning
undefinedRiskcompliance
- Generating and maintaining control reports pertaining to process delinquency/ variances / corrective actions and presenting the same to the management for facilitating decision making
- Continuous review of new and established processes to ascertain risk areas within the same and introduce necessary checks & controls to mitigate any kinds of risk and also ensure compliance of any procedures and policies of the Process / Company
- BCP: Coordinate with the department supervisors and managers to conduct BCP simulation exercise
Accomplishmentsawards
- Active involvement in identifying potential process optimization project
- Identify any processing Synergies between teams to create additional capacity within them by re-engineering the structure and constantly seek for System Enhancement opportunities to eliminate manual intervention
- Received several commendations for my prompt response to client queries and for consistently meeting project deadlines
Timeline
Associate
Wells Fargo (EGS) India Pvt Ltd.
02.2022 - Current
Associate -2 (WIM & GORR)
Morgan Stanley
06.2017 - 02.2022
Analyst
Goldman Sachs
06.2015 - 06.2017
MBA - Finance
ITM College
01.2013 - 04.2015
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