Komal Arora

Manager @Natwest Commercial And Institutional

Trade and Transaction Reporting (Assurance and Investigation)\\\\n• Reconciliation of Static data.Message level and position level transactions & work on the exceptions.\\\\n• Regulatory reporting and exception management of all the trades for all asset classes in\\\\nscope to DTCC for CSA jurisdiction.\\\\n• Raising and escalating any breaches in regulatory reporting within timeframe.\\\\n• Working closely with Tech Team, Testing Team for jira implementation.\\\\n• Coordinate with various internal & external teams for fixing breaks in reconciliations which\\\\ninclude CMG Team, Nucleus team, Middle Office, IT & Sapient Team etc.\\\\n• Perform Euro Clear Recon in relation to SFTR Regulation.\\\\n• Identification of various process gaps and raising it to relevant teams.\\\\n• Training to the team members on Static Data Reconciliation.\\\\n\\\\nTeam: Client Operation & Delivery -Periodic Review\\\\nResponsibilities:\\\\n\\\\n\\\\n Perform different levels of due diligence based on risk categorization of corporate clients.\\\\n Gathered information from secondary research in approved sources, online tools and directly from the business/relationship managers.\\\\n Support multiple teams like New Client Adoptions, Event Driven Reviews, GRDM, Risk Rating Review, Exit and Deactivation team.\\\\n Work on multiple entity types such as Non-Banking Financial Institutions, Government, Banks, Funds, and SPVs.\\\\n Adhere to the regulatory requirements such as MIFID\\\\n Perform screening on clients and related parties for material concerns such as Sanctions, Money Laundering, Terrorist Financing or PEP using tools like RDC, World Check, and OCC.\\\\n Performing various tasks assigned by manager in collating the team’s data.\\\\n Prepare & Maintain team’s Error & Accuracy reports.\\\\n Provide Training to the Teams on New ABC (anti bribery corruption) Project and assist them to perform ABC review on clients.\\\\n \\\\n\\\\n \\\\n \\\\n\\\\n \\\\n