Shiv Duggal

As the Common Data Controls AVP in Finance, I am responsible for working with global reporting teams to adhere to DUSE.4 controls and ensuring that Business Data Elements have data validations in place.

• Facilitate communication to ensure accurate requirement gathering.
• Analyze normal text requests, transformed them into SQL, and ensured quality through thorough testing.
• Design JSON files and validated them for technical discrepancies.
• Assist UAT teams in verifying accuracy of code outcomes on MI Dashboards.
• Ensure accurate, complete and timely Regulatory reporting through collaboration with Reporting Value Streams, IT, DataOps and FCD on strategic data solutions.
• Cultivate lasting client relationships through effective issue resolution.

Manager Finance Operations in GFA Operations (BP&C MI ASP) ( July 2017 - April 2023)

• Delivered L1/L2 MI support to ASP sites utilizing HMI systems for timely and robust financial management information.
• Ensured dissemination of relevant information for effective decision-making in alignment with Group objectives.
• Revise S&A templates as needed.
• Oversaw the comprehensive changes within the CCBALGBM cycle.
• Overseeing RH Maintenance to ensure seamless operations.

Manager Finance Operations in Finance Information Systems ( June 2013 - June 2017)

• Enabled seamless transition of the widely used Reconciliation tool in August 2013, leading to a promotion.
• Handled all aspects of system management, ensuring seamless operation and project execution.
• Engaged in ongoing collaboration with multiple parties such as finance users, IT departments, and project managers.
• Entrusted with handling a team of 10 members managing six different processes for different Finance System & Control processes of HSBC North America.

Assistant Manager Finance in Process Assurance Team (May 2012 - May 2013)

Values central to the platform such as Chart fields and hierarchies change during business-as-usual in response to business requirements.

• Conducted reconciliation and analysis of various reports to verify accuracy.
• Analyzed discrepancies and informed relevant team leads to ensure timely corrective action.
• Ensured completion of all validations within established timelines.
• Ensured strict compliance with established procedures.
• Supervised the entire ACRD process, ensuring tracking and auditing of all requests.
• Conducted thorough analysis for all regions and produced comprehensive reports.

Assistant Manager Finance in Administer Platform Security for FTP (June 2011 - April 2012)

APS team is responsible to secure the FTP application by maintaining and monitoring the appropriate user access based on their job responsibilities within the organization.

• Led a team of five members to address daily business challenges.
• Collaborated with multiple regions to maintain uninterrupted operations.
• Implemented performance management processes to reward high-achieving individuals.
• Oversee team operations ensuring compliance with quality standards.
• Developed a capacity plan to forecast staffing availability within SLA requirements.
• Generated reports tailored to regional data needs.

Assistant Manager for Compliance Operations.

Security and Compliance Data Matching (May 2009 - May 2011)

Centralized Refund Functions (May 2005 - April 2009)

Compliance Operations consists of various compliance-related processes, like Security and Compliance Data Matching (SCDM), Centralized Refund Functions (CRF), Home Mortgage Disclosure Act, Anti-Money Laundering, Office of Foreign Assets Control, Enhanced Due Diligence, and Security & Compliance.

• Migrated the SCDM process and led a 10-member team to scrutinize the details of the UK customers against various risk categories, including sanctioned entities and individuals.
• Matched over 2000 potential records and documented findings.
• Leveraged diverse platforms like Security and Compliance Intelligence Operations Network, Google, World-Check, and Browser Main Menu for operational tasks.
• Migrated the CRF process and later led a 25-member team to conduct audits and analyze loan data (consumer lending / mortgage loans) from various source documents and systems to ensure the resolution of state examination and/or internal review regulatory issues, as well as compliance with banking industry regulations.
• Identified and evaluated challenges faced in initial migration phases.
• Trained, coached, and motivated team members.
• Scheduled Client/Business Partner meetings to discuss and plan project details.
• Performed comprehensive Operational Risk Assessments for process integrity.

Financial Analyst for Prudential Mortgage Capital Company Process (Oct 2004 - Feb 2005)

PMCC is a national full-service, commercial and multifamily mortgage finance business, originating mortgage loans for Fannie Mae and FHA programs, the capital markets, Prudential's general account, and other institutional investors.

• To do Pre-screening of new leads by preparing budget/Performa based on financial statements, underwrite/normalize incomes and expenses based on Loan Request Package, gathering various reports from different sites and by performing property, tenant and market research. This process is known as “Conduit Preliminary Loan Sizing Process”.
• To analyze financial information on the basis of the documents provided by the borrower, for Fannie Mae and CMBS Loans. This process is known as “Financial Statement Analysis”.
• To systematically determine quality of individual loans for the General Account, Institutional Investors and PMCC’s FNMA Portfolio through QRR (Quality Re-Rating) process. QRR includes Borrower Analysis (Financial Statements and Rent Roll), Market Analysis (Rent Comparables and Sales Comparables), Property Inspections (High level due diligence and Below Investment Grade deals) and NOI Analysis.

S.M.E. for Prudential Real Estate and Relocation Services Process (May 2002 - Sept 2004)

PRERS is a subsidiary of Prudential Financial companies who serve individual and institutional customers worldwide. PRERS is a full-service global mobility management firm providing a wide-range of solutions to support corporate clients and government agencies in the recruitment, retention and relocation of their human capital.

• Guided team of 30 agents in comprehending policies and expense report analysis.
• Executed equity advance calculations and promptly allocated payments using Oracle Database.
• Determined tax withholdings and gross-ups for client payroll.
• Oversaw payments to external vendors including Wells Fargo, Chase, Hertz, Marriott.
• Train team members and audit their work to ensure quality.