Prachi G.

About Prachi G.

Responsible for the identification and management of undesired risk activities including conduct risk and financial crime risk. Also integrating prescribed and required forms of surveillance in the business, complimentary to existing process/systems. Identify potential new forms of staff or counterparty misconduct. In liaison with the Product Management and Transformation Team, prioritise the development of the systems, processes, people and data sets needed to (better) identify these new forms of misconduct for their business/asset class. Perform QA on alerts once they have already been passed through a first (level one) review. In case of deviation ensure that all alerts are satisfactorily escalated and resolved. Carry out in investigations requested by Regulators, senior management and the businesses/asset classes into certain practices, businesses, individuals and events. Escalate, as appropriate, any material findings or incidents of misconduct highlighted by these investigations. Coordinate or produce regular MI reports to key internal stakeholders including analysis of the MI. Foster a close relationship with key front office and support function stakeholders. Support the Surveillance team in the resolution of audit and control findings. Analyse and explore multiple data types in order to identify anomalies and patterns of risk. Understand financial products and firms’ business processes around these. Ability to support decisions with sound reasoning. Ability to clearly articulate business and regulatory implications of analysis and findings. Evidence of collaboration with key stakeholder functions as well as providing credible challenge to the business/desk supervisors in their daily risk management. Well-developed communications, analytical, organizational, and project management skills. Work independently to evaluate the extent to which surveillance investigators have complied with applicable policies, procedures, standards, and guidance materials issued by the Bank. Ensure that relevant procedures, systems, and controls are up to date and effective, and identify/facilitate remedial action where necessary (SOP/BCP/SLA). Detect, review and report potentially suspicious activities. Communications monitoring using the following tools and systems: Compliance Accelerator, Red Owl, Global Relay, Outlook e-mail, Bloomberg, Reuters, Actimize and any other electronic communications flow that may require surveillance or review.

Experience

1. AVP Risk & Control

   Natwest Markets Plc

   Aug 2025 — Present · Bengaluru, IN

   Deliver risk management initiatives to support the effective application of the operational risk framework and conduct risk obligationsImprove the understanding and effective management of risk across the organisation by supporting the business to make sure risks are identified, assessed, mitigated,monitored and reported in an effective mannerSupport and oversee the business in managing the risks which exist in the business area, ensuring mechanisms are in place to identify report, manage and mitigate riskwithin a defined risk appetite, working in conjunction with the second line of defenceEvaluate the adequacy of controls to identify any potential risks to the business

Education

• University of Mumbai

  Bachelor of commerce in financial markets

  2009 — 2012

• National Institute of Securities Markets (NISM)

  Capital markets dealers association

  2012 — 2012

• National Institute of Securities Markets (NISM)

  Derivatives Market dealers association

  2012 — 2012

• Indian Institute of Management, Kozhikode

  Professional Certificate Program

  2021 — 2021