Sameer M. Email & Phone Number

Mumbai, Mh, In

Mumbai, Mh, In

Mumbai, Maharashtra, India

Enterprise Risk Management, Incident Governance, Fraud Risk, Reputation Risk, Business Continuity Management, Operational Risk Management, Settlement Risk, Liquidity Risk, General Business Risk, Information Security Risk.

Mumbai

Worked with Wealth Management America (WMA)First Line of DefenseOperational Risk ManagerDodd-Frank Volcker Compliance Program ManagerFirm-wide Volcker rule compliance end to endPrimary responsibilities:• Ensure “audit closeouts” by documenting action plans, working with business lines to document completion of action plans, and documenting evidence for submission to and closure by Group Internal Audit • Compile and validate various COO and Non COO metrics • Conduct semi-annual review of Written Supervisory Procedures• Annual Key Procedural Control testing to validate ongoing performance of existing KPCs• Responsible for Implementation of Dodd Frank - Volcker Rule across Wealth Management Americas for Capital Markets - responsible for validating metric inputs, reviewing metrics, investigating potential Volcker proprietary trading violations, and obtaining approval for variances above thresholds• Volcker Program Management support including regulatory reporting dashboard maintenance, desk node coding, testing and training for use of new Volcker Operations Portal • Various Volcker Program Management project including creation of regulatory reporting dashboard, creation of metric calculation user guide, user training of the Volcker Operations Portal, general project support for transition to “run the bank” mode, ensuring resolution of action items and presenting all metrics and escalation items to the Committee• Knowledge of Risk & Quality Tools such as - Failure mode effects analysis (FMEA), Risk Control Self Assessment, RCSA, KRI, KPI, SOX controls such as (302/404/906), Fish Bone Analysis, Flow Charts, Value Stream Mapping• Strong knowledge of handling transition related documentation such as Standard Operating Procedures (SOPs), Supervisory Review Procedures, Key Performance Indicators (KPI)• Responsible for implementation of Policies & Procedures across WMA for Capital Markets

Mumbai

Worked with Asset & Wealth Management Division and Private Banking.Helped the bank better manage their risk & compliance obligations.Worked on all material operational risk identification, appropriate measurement, monitoring, controlling and reporting. Key responsibilities include:• Development of policies & procedures to enhance controllership and governance• Risk & Controls identification and documentation thru:• Develop RACM (Risk Assessment Control Metrics)• Implement processes to comply with the controls (RCSA)• Mitigate risks by implementing controls (Key Procedural Controls (KPCs) or Internal controls)o Bi-annual assessment of the end-to-end control environment and how well controls are performing (KPC monitoring & testing)o Evidence of performed controls provided to Compliance & Operational Risk Control (C&ORC) • Report residual risk/gaps or risk issues by raising an ORI (Operational Risk Issue)• Evaluation of design and operating effectiveness of business controls• Equipping senior management and Boards to make effective controls and governance decision making• Annual Compliance Review• Assist with regulatory audits such as FEDSr. Performance & Attribution AnalystProfile:Portfolio Return ComputationPortfolio Return AttributionGIPS Composites/ReportingProviding Customized reports to the Portfolio Managers etcWorked on an automation project which resulted in FTE/Headcount saves of 8/14.Helped technology write BRDs, Perform regression testings, identify and fix defects, Spearhead automation calls etc.

Mumbai, Maharashtra, India

Middle Office SupportAlternative InvestmentsHedge Funds, Private Equity, Fund ServicingExecution, Bookings, Settlements, ReconciliationHandle Trades & Corporate Actions

Mumbai, Maharashtra, India

Sales & Servicing of Wealth Management Products