Description
Summary * 11+ Years of experience in Broker/Dealer Regulatory Compliance, Program Management, Process Consulting and Strategy focusing on large Investment Banking and Wealth Management firms such as JP Morgan, Capital One, Morgan Stanley (MSSB), HSBC, Deutsche bank, Nomura Securities * In-depth functional/hands-on knowledge of core Front Office Compliance processes and regulatory requirements such as Large Options Positions reporting (LOPR) and OCEND, Blue sheets (EBS), Personal Account Dealing, Trader Registrations, Communications with Public (CWP), Email Surveillance, Trade Surveillance (Control Room and AML (Nice Actimize)), Front Office Supervision WSPs, and Reg SHO, Reg S, Rule 15a6 etc. * In-depth knowledge of Trade/Securities processing lifecycle including OTC and Listed Derivatives (Eq) and Loan products and hands on experience in building Trade capture/adjustment (Murex like) systems. Functional knowledge of BASEL II/III, Dodd-Frank (Title VII) and FINRA/CFTC regulations, Securities Exchange Act (1934), US Patriots Act and its impact to Control Room and AML functions * Registered for Series 7 license exam by end of 2017 * Co-managed large migration programs (Broadridge transition and T2 settlement transition) from a Compliance perspective * Functional and operational knowledge of trade flows pertaining to Equity Derivatives and FIRNA rules pertaining to Principal/Agency/Prop bookings, Restricted activities and other Compliance controls * Process consulting engagement experience in Core Banking. Led multiple programs in Demand Deposits, Payments, Customer Onboarding, Risk, AML and Compliance. Proficient in using Six Sigma process improvement frameworks and Control frameworks including COBIT and ITIL * Hands on experience in managing Business Analysis teams/deliverables, Sprint management and Change Management in an Agile environment * Experience in large strategic transformation programs owning key deliverables (e.g. Process catalog, Application Rationalization framework, Current state analysis, Gap Analysis, Future State Recommendations, Implementation roadmap, Project planning, Target State architecture and migration, governance and PMO)
Accomplishments
Highlights:
Keywords
