Ashik Ashok
Associate - Regulatory Reporting(EMIR, CFTC, Canada, HKMA, MAS, ASIC, Korea & SFTR) Ex Société Générale. Business Analyst L1 & L2 certified. SAFe certified PO/PM
- Role
- Associate - Regulatory & Cross Product at Deutsche Bank
- Location
- Bengaluru, KA, IN
- LinkedIn followers
- 500 followers
About Ashik Ashok
An overall work experience of over 9+ years majorly in Regulatory reporting operations…
Experience
Associate - Regulatory & Cross Product
May 2024 — Present · Bengaluru, IN
Covering CFTC, Canada & SEC regulations on OTC TTR reporting. In addition to it working on Volcker reporting, Large Option Position Reporting, TRACE, Electronic Blue Sheets, CSDR on the broker dealer side reportingCFTC, Canada & SEC* Execute timeliness, completeness and accuracy controls across CFTC, Canada & SEC jurisdictions* Manage exceptions received with both tactical solutions as well as target solution* Jira maintenance on the issues raised by the operations team* Co-ordinate with IT teams to have the issues fixed Electronic Blue Sheets * Address the requests received by SEC and FINRA on a daily basis* Ensure adherence to submit the data requested by SEC & FINRA before the deadline* Communicate with the Regulators in case of delay in submission and request for extension* Run reconciliation on the data generated by the IT team as a sanity checkLarge Options Positions Reporting-* Monitor the submissions made by the outsourced reporting partner to the regulator(OCC)* Daily reconciliations to be addressed and analysed if any breaks are identified VOLCKER -* Run monthly controls to make sure the reporting on quarter end doesn\'t have issues with reporting* Make sure every book is mapped with a VOLCKER trading desk* Ensure every counterparty is classified as customer, customer or internal * Ensure MO contacts are available for each and every Desk* Work with referential teams and MO\'s to have the orphans addressed timely* Create Narrative Deck for supporting submissions where we have any addition or deletion of desks
Education
St Joseph's Institute of Management
Master of Business Administration - MBA, General
2017 — 2019
BNM Degree college
Bachelor of Commerce - BCom, finance
2013 — 2016
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