SHYAMOL KUMAR SENGUPTA

• APAC Regional Head for Operations Control and Risk (OC&R ) & Global Assurance Lead for Global Operations responsible for delivery of risk & control initiatives, programs and book of work covering APAC Global Operations spanning asset classes across offices in India, Singapore, Hong Kong , Tokyo and other regional offices in Asia
• Responsible for functional and regional strategy, expansion and on-going delivery across risk management , control governance and risk reporting, framework & oversight, assurance and regulatory affairs
• Chairing and driving Functional and Regional Control Governance
• Provide face-off and risk management support for 2 senior MD stakeholders in their respective regional and functional committees
• Sponsor for key initiatives promoting strong risk and control mindset including control improvement, enhancement, awareness , rewards and recognition
• Span of control - 20 FTEs across India & Singapore (including 2 Dir and 7 VPs)
• Additional responsibilities : India Lead providing oversight for 40+ FTE team across enterprise resilience, governance and risk function (including technology and operational risk)

• Embedded Risk Manager for Clearing Operations Asia (key locations include India, Singapore, Tokyo, China), Global Cross Clearing Operations and Securities Operations India
• Led risk & control governance agenda per span of coverage and engaged in broader India site-wide, Asia/ Singapore wide and Global risk and control governance forums
• Introduced and implemented Global Operations best in class framework, standards,practices and tools including RCSA
• Performed division wide country and credit exposure analysis as part of global initiative across Operations
• Conducted on-going reviews and performed analysis of key risk metrics i.e. incident data, risk metrics, self-assessments
• Successfully completed a 6 month assignment with the EMEA Securities Operations Risk Management team

• Functional Co-Head Client Middle Office India within Securities Operations managing a 30+ team including immediate management of 3 Managers as direct reports
• Responsible for translating global middle office strategy into department's objectives
• Built out the global support model via expansion,process migration and implemented follow the sun model across India, Hong Kong, New York and Salt Lake City
• Key functional areas include Trade Capture,Client Commission Management (Soft dollars) and Client Control activities
• Responsible for functional delivery of client servicing and operational support to Institutional Sales & Trading and Soft dollar desks

• Assistant Manager of Central Accounts Group, NY Team (CAG) within Securities Operations managing a team of 5 analysts.
• Central accounts group is responsible for institutional account opening, SSI set-up and Account Reference Data maintenance
• Responsible for day to day management via oversight of key risk metrics, management reports and performance indicators
  

SHCIL is the leading provider of custodial, depository participant and professional clearing member services in India. Responsibilities include :

• Trade processing, fail and inventory management
• Margin monitoring reporting and client servicing to Trader, Clearing members/ Brokers in India across cash equities and listed derivatives

• NUACL was a leading NBFC in India
• Handled Money Market & Corporate Funding activities including client accounts