Tanvi Sharma

Project: CSDR Regulatory Penalties Implementation

• Led the implementation of CSDR Reulatory Penalties, ensuring compliance with regulatory standards and reducing operational risks.
• Standardized processes to resolve trade data exceptions, significantly enhancing data quality and operational efficiency.
• Coordinated with business, IT, and other stakeholders to define project deliverables, ensuring seamless transitions and successful project outcomes.

Project: Data Quality Enhancement:

• Developed testing templates and managed the implementation of regulatory requirements, ensuring adherence to compliance standards.
• Identified gaps in risk and controls, proposing measures to eliminate manual intervention and enhance data quality controls.
• Conducted business analysis of requirements, tracked and resolved risks, contributing to process optimization and productivity improvement.
• Developed project plans, compiled weekly presentations, and delivered updates to stakeholders, ensuring transparency and alignment with project goals.

Project: Data Quality Management & Regulatory Compliance:

• Managed complex project involving data quality management and regulatory compliance, ensuring data integrity and adherence to regulatory standards.
• Interacted with stakeholders to ensure a comprehensive understanding of system and testing needs, facilitating effective communication and project success.
• Conducted end-to-end analysis of business processes, data flows, and data usage to improve business productivity through re-engineering and data governance.
• Identify the priority use cases, assess the current usage of workflow tools in various functions, and align them with the requirements.
• Identify the priority use cases, assess the current usage of workflow tools in various functions, and align them with the requirements
• Documented business requirements and use cases for data-related projects, managed the change control process, and participated in user acceptance testing (UAT).

Process: Post Investigations (Interbank & Options)

• Managed the reconciliation of Nostro accounts for FX, NDF, and options transactions for both interbank and corporate clients across EMEA branches
• Manual Payments (SWIFT) and Manual Funding
• Preparing daily funding reports for sensitive currencies, such as NGN, for the Front Office

Process: Mumbai Branch operations

• Drafting and following up on long-form confirmations for interbank and corporate clients at the Mumbai branch.
• Managing, confirming, and settling CCIL and interbank trades for the Mumbai branch.

Process: SWIFT & Long Form Confirmations matching and Chasing operations

• Chasing, matching, and reconciliation of SWIFT matching (MT 305) and paper confirmations for options and NDF products.
• Preparation of Weekly Global Metrics and representing the team on Metrics Calls.
• Leading various UAT testing efforts to automate the matching process.
• Identifying gaps in risk and controls, and providing measures to eliminate such risks to the management and the tech team (Auto Classification of the Long Form trades saved 3 hours a day).
• Setting up Calls with FO/MO regularly for resolving issues that are repetitive in nature and can be avoided (Reduced more than 30% of the breaks).
• Preparation of CFTC/EMIR files for the department.
• Proposed various risk and control-based measures to eradicate manual intervention and improve processes.
• Performing complex analysis and reports on the volumes and process flow to identify the root cause of the breaks, saving approximately three hours daily for the global Chasing & Matching Team.

Process: Process Project Team.

• Part of the Change Management team responsible for functional testing on front office, middle office applications for derivative asset class.
• Interacted with stakeholders, including end users, project leads, and technology teams, to comprehend the system, testing, and business requirements.
• Functional testing following set rules for test progress.

• Creation / Updating of Process Flows for approved CMC / PMC notes/ OAS / Circulars
• Process flow assessment for all the CMC/ PMC notes / OAS / Circular raised with view to ensure process flows are provided in the prescribed format and & its timely closure.
• Mapping of the correct Financial Reporting risks & mitigating controls to the processes

• Confirming & verification of FX transactions with all supporting documents, follow up with counterparties (in case of discrepancies).
• Initiating RTGS and SWIFT payments, monitoring inward & outward payments for interbank transactions.
• Monitoring daily CCIL and CLS segment.
• Preparing Funding Reports (bank's currency-wise position) for the Front Office to ensure short positions are adequately covered
• Preparing Rate Scan Report and reporting of rate deviations to the higher management
• Preparation and submission of RBI Returns (BAL, R-Return etc).
• Preparating Monthly MIS for various segments in Interbank (Broker, Health Report, CCIL, Reuter etc.).
• Reconciliation of General Ledgers on a monthly basis.
• Preparation and Publishing of Daily Nostro Balances Report and reporting overdraft to the higher authorities
• Preparation of FCY Nostro Reconciliation (for all Nostros).
• Preparing weekly MIS for Ageing Nostro Open Items to ensure that the same is resolved at the earliest

• Concurrent Audit (Treasury incl
• RBI Return): State Bank of Mauritius, Royal Bank of Scotland, Deutsche Bank, Syndicate Bank, UCO Bank, Saraswat Bank, Mizuho Bank, Union Bank of India
• Statutory Audit: State Bank of Mauritius
• Trade Finance Audit: State Bank of Mauritius, Mizuho Bank, Union Bank of India
• Retail Asset Audit: HDFC Bank
• DP Audit: DCB Bank