Investment Banking Regulatory Management Group Business Analyst
Jun-2011 To
May-2012
11 months
- Regulatory Management Group (RMG) is a part of the Investment Banking (IB) Compliance vertical which runs to:
? Track UBS employees’ Personal Account Dealing (PAD) activities
? Carry out Surveillance activities to prevent inappropriate trading of stocks on both Proprietary and Agency trades
? Provide Blue Sheet inquiries in response to regulatory requests from NASDAQ, SEC and NYSE
? Furnish region-wise customized, periodic management reports
Other Responsibilities
? Created the RMG Oversight Model, that laid down the structure and guidelines for business operations at ISC as well as reporting to the Onshore regions
? Analyzed business processes to identify areas of reducing operating costs and improving efficiencies
? Recommended and implemented new technology solutions; and trained clients how to utilize new technology to reach their business goals
? Modeled new business processes and customized solutions to accommodate budget and build in scalability
? Part of the Quality and Automation team and the Event Management Committee for the IB Legal & Compliance vertical, managing teams of 12 and 20 people respectively.
- ? Highest score-getter with 83% in the first wave of Lean Sigma assessment
? Regulatory Management Group (RMG) Success Story Award - for getting 40% of RMGs business in APAC outsourced to the India Service Center, within 4 months of the vertical going-live in India, with a pilot batch of 10 members
? Overall CSAT rating (Client Satisfaction Survey) of 9/10 from clients