Umesh Anand

• Design & implement supervisory controls to support the Sales, Pricing, Regulatory & Governance Framework for Commercial Banking Products
• Identify potential risks & process improvement opportunities by reviewing end to end customer journey for Transaction Banking Products
• Responsible for various issues related to Risk, Control Assessments, EUDA Governance, Record Management, Call Tree Tests, Business Contingency Assessments etc.
• Responsible for Control Assessments of Non-Key Controls for Product Management Hub, India
• Implement best practise process and controls across locations to achieve high quality output
• Providing guidance and Risk & Control specific trainings to control conduct owners

• Responsible for regular testing of RCA Key Controls, Thematic Reviews, Independent Validation of testing taken etc.
• Helping various business verticals in mitigating risks to bridge identified gaps in existing processes, policies and procedures
  Responsible for imparting trainings on Risk and Controls topics to increase awareness under Risk Culture Program

Achievements :

• Developed a Controls Assurance Framework to record all Key Controls for Front Office India Traveled to Chennai and other locations for migration of Control Assurance activities from UK to India
• Ensured completion of Assurance testing of Key controls of Front Office India within 3 quarters which helped the management attest compliance to Auditors and Regulators
• Conducted training and awareness sessions related to Control Assurance with more than 400 members of Front Office spread across various locations
• Partnered a project on consolidation and creation of Rules and Guidelines supporting disabled employees for Disability ELN resulting in development of Chatbot for resolution of common queries on Disabilities and provision of Assistive devices in Employee Insurance Policy

• Design & implement supervisory controls to support the Sales, Pricing, Regulatory & Governance Framework for Commercial Banking Products
• Identify potential risks & process improvement opportunities by reviewing end to end customer journey for Transaction Banking Products.
• Monitored and analyzed business performance to identify areas of improvement and make necessary adjustments.
• Assisted in organizing and overseeing assignments to drive operational excellence
• Leveraged data and analytics to make informed decisions and drive business improvements

• Responsible for Profit & Loss Account production for traders within the Equities, Structured Derivatives & Direct Market Access Desk & substantiated the results with detailed commentary
• Performed analytical review & variance analysis of Balance Sheet & Profit and Loss Account
• Queried databases for information needed for report processing.
• Recommended process improvements to continually identify, analyze and fix constraints and challenges.
• Utilized data visualization techniques to present and explain complex data sets
• Developed complex dashboard and reporting tools to track business performance metrics

• Managing end to end Stock Exchange Settlement Operations for funds including Payin, Payout, ABC
• Margin, SLBM, Currencies etc
• Monitoring of Business Continuity/Contingency Planning documentation and implementation
• Offered hands-on assistance to customers, assessing needs, and maintaining current knowledge of consumer preferences.
• Mentored team members to enhance professional development and accountability in workplace.
• Developed strategies to proactively manage upcoming changes to market and capitalize on trends.
• Supervised day-to-day operations to meet performance, quality and service expectations.