SHALINI L

Domain - Control and Governance, Global Market Ops,

• Coordination and improvements to the Risk & Control Self-Assessment (RCSA) process across the GMO line of business
• Heading EUDA project across Global Markets Operations
• Reviewing controls are yearly refreshed and certified by management
• Deep knowledge of Operational Risk Frameworks within global Investment Bank - specifically Risk & Control concept, design, development, enhancement, implementation, oversight and assurance
• Identification, mitigation, escalation and reporting of potential/current risks
• Liaising with Directors and MDs for approvals
• Adhoc Projects on Audits/ Attestations/ Re-certifications
• Dashboards, Weekly Risk Packs and Prioritizations Calls
• Reconciliation Project with IT team and Stakeholder
• Maintaining MI are up-to date

Domain - Retail Banking, Credit Card Operations

• Handling Reconciliation through Pega Reports, Posting of JE, Validation of Card Member Accounting and Collection Accounting Activities
• Preparing Management Decks and conducting presentation to Management levels
• Implementation of Skill Matrix, Escalation matrix, Checklist and other control measures in team
• Settling wires to treasury and liaising with external agencies
• Silver Award received twice for BCP handling
• Gold Award received for streamlining Trainings within team by implementing Skill Matrix and Assessments, also for creating Escalation Matrix
• Score card and Cross trainings monitoring with-in team
• Developing E-learning content for team
• Silver Award received for stabilizing process

Domain - Learning & Development/Trainings & On-Boarding, Conducting Investment Banking Domain training for fresher’s and soft skill training

• Content development on BAU trainings (Loan Syndications & Security Lending) for stakeholders
• Conducting Interviews and streamlining new hiring process
• Overall, 18 training batches for more than 500+ attendees scheduled
• One on one’s and joiners’ feedback for department assigned
• Scheduling assessments, presentations, communication skills development for freshers
• Align to process for developing training contents
• Provide training for laterals on required domain
• Conducting inductions for new joiners
• Re-trainings provided for freshers
• Scheduling NCFM/FMBM/CISI exams training
• Part of Interview panel for college drives and walk-ins
• Developing E-learning for Foundation Trainings

Domain - Investor Global Services – US Transfer Agency

• Managed 21-member team composed of Operations Executives, Analysts & Process lead handling diverse set of operations
• Dealing with Redemption, Subscription of Shares, Maintenance of Accounts, New Account Opening, KYC creation, Mutual Funds, Trade Estimation
• RCA reports, OREs & Escalation handlings
• Conducting One on One's and team appraisals
• Dealing with Redemption, Subscription of Shares, Maintenance of Accounts, New Account Openings
• Dealing in Mutual Funds, KYC creation, Trade Estimations & Adjustments and Transfers
• Work allocation done for team
• Developing and Maintaining SOPs and change control log that document change to these SOPs
• Analyzing quality audit data to identify areas for improving process accuracy
• Performing the renewal of SOW, SOP & Business Recovery documents and obtaining sign-offs from On-shore & Off-Shore heads
• Provide Managerial Sign- Offs for requests as key decision maker
• Analysis done on G/L and OREs reported
• RCA reports and Escalation handlings
• Reviewing training for new joiners
• Conduct team huddles, one on one’s, team appraisals
• Weekly and Monthly Dash book presentations

in - Loan Syndication & Reconciliation

• Managed 7-member team comprise of Associate Analyst and Analyst
• Dealing in Bilateral and Non-Bilateral Portfolios
• Process- New drawings, Rollovers, Rate Fixing, Repayments and Prepayments
• Dealing Bilateral & Non- Bilateral Portfolios
• Full time approver in BAU
• Allocation of work, daily huddles and planning work for team
• Will commence weekly calls with clients
• Reviewing Skill Matrix, Leave tracker, EOD Pending’s and Client reports
• Coordinate and conduct small group and individual training sessions based on staff and organizational learning needs
• Recognized for classroom training and coaching 15 associates
• Administered performance reviews to evaluate each participant’s progress.
• Responsible for helping associates maintain individual goal quality
• Managed all areas of attendance, tardiness and overtime
• Preparing management related reports such as Dashboard, KPI reports etc...
• Prepared process maps like SOPs, Client based exceptions
• Reviewing daily exception reports and resolves any outstanding items pertaining to assigned portfolios globally.
• Ensuring observance to all cut-off times and quality of processing as maintained in SLA’s agreement.
• Training for new joiners on multiple queues
• Undertaking new drawings, rollovers, rate fixing, repayments and prepayments in accordance with Loan Documentation ensuring that all limit controls and CP's have been adhered to
• Handling Classified and Participation Deals
• Responsibility for preparation of in-house facility documentation, as well as performing coordination, checking and control role through to execution and Condition Precedent (CP) satisfaction stage, ensuring that documentation complies with internal approvals and requirements
• Sending on time requested wires to Borrowers through preparing manually via database

TRADE SETTLEMENTS & RECONCILIATION:

• Have been key player in team acting as Agent bank to Borrower and Investor
• Collecting funds from investors when needed by borrower
• Reconciling day-to-day transactions of business
• Key player in processing Participation deals and FX Settlements
• Sending notices to bank group regarding interest rates, interest amount based on their pro-rata share
• Resolving trade activities and queries
• FX transactions processed as per client request
• Dealing with Trade Desk for FX rates

Domain - Trade Import LC Payments, Handling Incoming Messages (MT799 & MT999)

• Funding done in MT202 & MT103
• Appreciation received for handling Nostro Reconciliation for all Metros
• Dealing with payments and acceptance messages towards customers
• Single handed all reports such as Due Date, Past Due, Nostro Reconciliation, RPR, Suspense and EOD report
• Handling incoming messages from overseas in format of Swift (MT799, MT999)
• Funding done in MT202 and MT103 format