Kashmira Rane
IB Control Room at UBS
- Role
- Ib Control Room at UBS
- Location
- Thane, MH, IN
- LinkedIn followers
- 500 followers
About Kashmira Rane
Expereince Finance professional with over 8 years of experience in investment banking…
Experience
Ib Control Room
Jan 2023 — Present · IN
Supporting the business in remaining compliant within the regulatory environment and managing their risk.Assisting the Investment Bank and Wealth Management division of the Bank in Identifying, assessing,measuring, mitigating and monitoring compliance and operational risk.Managing the firm\'s Chinese Walls, flows & statuses relating to Material Nonpublic Information (MNPI/UPS|).Providing Research Clearance ensuring Compliance with legal and Regulatory requirements.Maintaining Restricted List & managing conflicts for sales, trading, research and personal account dealing to align with regulatory and legal obligations.Applying the Research settlement rules to facilitate communications between Equity Research andBankers.Managing sanctions restrictions for the Bank.
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