T. Ambedkar
Investment banking
Hyderabad
Summary
Professional Experience summary
Experienced with regulatory compliance and risk management. Utilizes analytical skills to identify and mitigate potential threats. Knowledge of industry standards and practices ensures adherence to legal and ethical guidelines.
Overview
12
12
years of professional experience
8
8
years of post-secondary education
3
3
Languages
Work History
Authorized Officer
UBS AG India
11.2021 - Current
- ETD Regulatory Transaction Reporting Team works to meet objective of regulatory transactions reporting (EMIR, FinFrag, Mifid and REMIT) by monitoring transmitting the trades to respective trade repositories with complete and accurate information in timely manner.
- Responsible to capture all internally stopped transactions in the workflow and work towards remediating the underlying issues to report to regulators.
- Supporting RTR team to resolve NACK’s received from regulators post submission of transactions.
- Processing manual submissions (exits or modifications) to the regulator if there is any challenge over transmitting the trade through STP.
- Use external trade repository web portals like DTCC and Unavista to access the post submitting data.
- Built Quality assurance with in the team and proactively setup controls to ensure all the activities in line with SOP’s
Authorized Officer
UBS AG China
12.2017 - 11.2021
- Ensure Completeness, Accuracy and Timeliness (CAT) requirements Trade capture controls and Trade Lifecycle controls.
- As a part of FRC TLCS worked with multiple teams like, sales, trading, AVI, Finance, Regulatory reporting, Settlements and confirmation teams.
- Also will be working in a global team responsible for functions supporting Trade & Lifecycle Controlling Services to ensure UBS's obligations are met.
- Assist trading and sales to set up new account in Markitwire and booking systems for client and validating trades on a timely manner.
- Responsible for preparing EOD shuttle and escalate all the pending items accordingly to higher management.
- Managing and streamlining the development / implementation lifecycles.
- Fostered strong relationships with key stakeholders, facilitating effective communication and driving successful project outcomes.
- Mentored junior staff members, cultivating a supportive learning environment that promoted professional growth and development.
- Lead the team for migration of MIFID2 Regulations from London to Wuxi.
- Lead team for CFTC, CAD regulations.
- As a regulatory Reporting team, we support global team responsible for functions supporting transactional reporting to global regulators within tight deadlines and to ensure UBS' obligations are met.
- Ensure completeness of all transaction is reported accurately, timely and in compliance with regulatory reporting requirement.
Senior Team member
BA Continuum Solutions India
12.2015 - 09.2016
- Responsible for Import the margin moves and calculating margin short fall and informing clients timely of status of Margin call and elaborating the methodology.
- Cash and Collateral Management and Perform a reconciliation for any breaks.
- Amend the booking in settlement system as per the margins team requirements as per ISDA confirmations.
- Add and remove the cash moves in settlements system as per the request from the margins team.
- Investigate the pending cash fails and prepare the report and share with the head of LOB’s and margin managers in order to minimize the risk for EMEA region at EOD.
Senior Associate
Cognizant Technology Solutions Pvt. Ltd.
09.2013 - 12.2015
- Company Overview: Client – UBS
- Offering aid in settlement of cash flows for OTC Derivatives, Working for regions inclusive of EMEA and Stamford; looking into settlements of cash flows and any discrepancies pertaining to them.
- Reconciliation of Our ledgers and there statement entries and Journal entry postings whenever required to match Actual Vs Implied.
- Interacting with client on transactional issues, handling client queries on a regular basis.
Education
Higher diploma - business studies
TMC academy
09.2016 - 11.2017
MBA - Finance
Aurora PG college
01.2011 - 01.2013
B.Sc - undefined
Siddhartha degree college
01.2008 - 01.2011
Intermediate - undefined
Naveena Junior college
01.2006 - 01.2008
Skills
- Versatile in diverse situations
- Effective communication abilities
- Quick learner
- Adapt quickly to new environments
Disclaimer
I hereby declare that the above furnished information is true to the best of my knowledge.
Timeline
Authorized Officer
UBS AG India
11.2021 - Current
Authorized Officer
UBS AG China
12.2017 - 11.2021
Higher diploma - business studies
TMC academy
09.2016 - 11.2017
Senior Team member
BA Continuum Solutions India
12.2015 - 09.2016
Senior Associate
Cognizant Technology Solutions Pvt. Ltd.
09.2013 - 12.2015
MBA - Finance
Aurora PG college
01.2011 - 01.2013
B.Sc - undefined
Siddhartha degree college
01.2008 - 01.2011
Intermediate - undefined
Naveena Junior college
01.2006 - 01.2008
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