SREEJITH UNNIKRISHNAN

• Directed Regulatory Reporting Operations in adherence to MiFID and FinFrag requirements, ensuring precise and timely trade submissions across jurisdictions.
• Led communication and resolution efforts for BAFIN and FCA regulatory inquiries, driving improvements in data quality and driving timely updates and closure of open issues
• Cross-functional partnerships with Technology to identify root causes and resolve complex static data issues involving clients and instruments data.
• Standardized and optimized the handling of regulatory rejections, improving accuracy and timeliness in the back reporting of errored trades.
• Served as a senior liaison with European branches, effectively managing regulatory inquiries from authorities such as CNMV and ensuring compliant resolutions.
• Spearheaded the MiFID 2.5 implementation roadmap, documenting regulatory changes and aligning senior stakeholders on strategy and execution.
• Collaborated with SIX Exchange and Technology teams to deliver FinFrag-related regulatory updates and facilitate audit readiness.
• Achieved a 42% reduction in operational exception backlog, decreasing unresolved issues from 960,000 to 560,000 within a year through strategic process enhancements.
• Led the assessment and remediation of audit findings in partnership with Technology, developing risk-based build profiles and strengthening governance.
• Partnered with Internal and External Audit teams to enhance controls, improve process walkthroughs, and embed sustainable risk mitigation practices.
• Established a robust control framework with clearly defined ownership and comprehensive risk coverage across high-impact operational processes.
• Analyzed FCA Market Watch guidance to ensure internal policies and controls were aligned with evolving regulatory expectations.
• Oversaw external engagement with ICE and LME exchanges, resolving Commodity Position Reporting issues and coordinating remediation efforts with Technology.
• Developed and implemented a MiFID reporting data quality framework using UnaVista alerts, significantly improving issue detection and resolution.
• Championed Business Continuity Management initiatives, ensuring team preparedness through targeted training and scenario-based simulations.
• Designed and launched training programs to enhance team competencies, regulatory expertise, and overall operational performance.

FX CONFIRMATION – ASSISTANT VICE PRESIDENT

• Managing Confirmations teams for the FX cash and Money Market products.
• Ensure all trade confirmation are matched before Value Date and ensure deviation to be highlighted to the stakeholders and escalated at client level.
• Weekly and Monthly KPI calls with Key stakeholders.
• Driving Risk Control, efficiency and service improvement topics and projects
• Monitor process delivery and ensure adherence to key SLAs, conduct regular operational performance discussion with Global Stakeholders.
• Internal/External Audit Requests - Co-ordinate any Audit requests globally from either the control team or from external auditors.

REGULATORY REPORTING EMIR (SENIOR MANAGER)

• Managing a team of 14 FTE’s to ensure all trades for OTC derivatives are reported on T+1 to the trade repository.
• Ensure the setup of funds for the auto reporting of trades.
• Manage the KPI and Billing for the trades reporting for clients and report the same to the clients on a monthly basis.
• Manage the queries from regulators on behalf of the client on the trades reported for the clients.
• Liaise with the clients and internal stake holders on the onboarding offboarding of the clients.
• Managing Training, Leave Management work with the team on process improvement, managing team meeting with staff and conducting performance review.
• Weekly overview about process to Senior Management and other Stakeholders in Ireland.

Trade Support Unit (Operational Manager)

• Booking and Amendment of Commodity trades Position reporting and Managing Life cycle events ((Expiry, Interest fixing), Position management of physical future contracts
• Managing Training, Leave Management Harmonization of activities and to help in developing Follow the Sun Model between Asia and EMEA Teams
• Weekly overview about process to Senior Management and other Stakeholders in Paris
• Managing team meeting with staff, conducting performance review.Monthly Review of KPI’s KRI’s and Quarterly review SOP documents for the team.

Derivative Documentation

Role: Corporate Chasing- Process Supervisor

• Handled High net worth Clients and Corporates across Rates, Credit and Equity Asset class, managing a team of 6 members and also acted as a first level of escalation for the team.
• Ensure the Daily, Weekly and Monthly SLA's are met while informing and supporting the Direct Line (team manager)
• Weekly reporting of Fed outstanding numbers to Global Management for all asset classes
• Establish, Maintain and Strengthen good and amiable working relationship with all Counterparty contacts
• Conduct various training sessions on product and the process flow.
• Owning the Responsibility of reviewing the Process KOPs, QA procedures, and MIS for Individual Productivity