Kunal Gogia

About Kunal Gogia

Architecting the future of global markets at the intersection of finance, AI, and…

Experience

1. Executive Director, Head of Product Control Americas

   SMBC Group

   Feb 2016 — Present

   Spearhead the strategy and execution of the Target Operating Model for the Bank Holding Company (BHC) and Combined US Operations (CUSO) Product Control function. Lead the Americas Product Control function responsible for completeness and accuracy of p&l and independent price verification (IPV) of securities, corporate bonds, sovereign bonds, structured products, loans, and derivatives, including caps, floors, swaptions, inflation-linked swaps, credit default swaps, interest rate swaps, deal contingent hedges, and callable accreters. Design and implement new finance applications and automate reports to strengthen internal controls, data quality, and audit trail. Notable Contributions: • Set up the Sales & Trading, and Investment Banking product control functions for the global operations spread across New York, London, and Hong Kong with annual revenue of over $1Bn across several legal entities. • Delivered 7 consecutive years of successful audits with no significant control deficiencies under US GAAP, IFRS, PCAOB, or JGAAP. • Launched multiple automated applications and reports across the Sales & Trading business to strengthen the global finance function\'s overall control framework, resulting in no operational risk losses. • Served as the interim Local Data Officer and collaborated with department heads in developing strategies to resolve data quality issues impacting the completeness and accuracy of financial and regulatory reports. • Recruited 90% of the team members with diverse experience and skill sets to implement best practices.