Deepa Narayan

About Deepa Narayan

As an accomplished risk and controls leader with global experience in financial services,…

Experience

1. Director - Conduct & Supervision (Business Risk Management)

   UBS

   Apr 2024 — Present · Mumbai, IN

   o Controls Self-Assessment standardization, MI packs, remediation, challenge session, re-write KPCs, control maintenance, quality assurance, review KPCso To act as the first line of defense, providing central guidance for all AM Operational Risk and Control Framework activities including design, implementation, ongoing monitoring/reporting, and testing/validation of FO controlso Define and set-up supervisory framework operating model, driving in standardized reporting of MIS, identify material weaknesses of the control assessment process & SOX 404 framework.o Review internal and external NFR events to understand retrospective view of risk exposure and remediate them. Identify emerging risk exposure and potential unmaterialized control deficiencies within the firms control environment - rewrite incidents, risk issueo Conduct Integrated Risk Assessment (IRA) to identifying, quantifying and manage the Operational Risks of AM by reviewing the NFR Risks on a taxonomy-level basis to determine Asset Management\'s risk levels in relations to its risk appetite

Education

• Royal Junior College

  H.S.C, Commerce

  2002 — 2004

• Abhinav Vidyalaya

  S.S.C

  2002

• SIES College Of Management Studies

  PGDM, MARKETING

  2009 — 2011

• K J Somaiya College of Science & Commerce

  Bachelors of Commerce (Accounting & Finance), Accounts and Finance

  2004 — 2007

Skills

• Business Development
• Risk Assessment
• Internal Controls
• Negotiation
• Management
• Compliance Regulations
• Business Analysis
• Banking
• Risk Management
• Team Management
• Oversight & Control
• Microsoft Office
• Financial Analysis
• E-Communication Surveillance
• Marketing
• Marketing Communications
• Trade Surveillance
• Competitive Analysis
• Finance
• Risk and Audit
• Analytical Skills
• Mis
• System Testing
• Post Market Surveillance
• Excel
• Trade Compliance
• Corporate Fraud Investigations
• Leadership
• Crm
• Global Regulatory Compliance
• Investment Banking
• Market Research
• Regulatory Compliance