Co Managing Partner

• Feb 2022 - Present

Managing Partner

• Jan 2021 - Present

Executive Director

• Sep 2007 - Jan 2021

JPMorgan Chase Bank N.A. since September 2007… Executive Director Head - Operating Risk Management (All Lines of Business), Head - Banking Markets Compliance & Regulatory Affairs (All Entities), Head - NBFC Compliance. RISK COVERAGE: - Operating Risk (incl. Regulatory Risk) arising from Market, Liquidity, Interest Rate & Credit Risk. - Outsourcing risk. - Coverage for banking markets for Bangladesh & Sri Lanka. FUNCTIONAL: Regulatory & Operational Risk Management: - Identification, assessment, management & remediation of all issues impacting regulatory & operating risk. - Change management, - Interpretation, implementation & application to policies and procedures, - Regulatory liaison & nodal point of contact, - Development, review, maintenance & delivery of the training programs, - Certification assessments, monitoring & testing, Regulatory Liaison & Risk Advocacy: - Working with internal stakeholders and the regulator to maintain alignment between international and local financial markets. - India Award for Excellence by CEO Jamie Dimon for work in this category. - Firming up and maintaining alignment between industry and regulatory intent. - India CEO Award received for work in this category. - Member or lead of industry forums, market bodies and quasi regulatory associations; working on development of all key regulations over the course of the last decade. - Regulatory advocacy, FEDAI Managing & Technical Committee member, - Working with FIMMDA, India FX Committee, ISDA, ASIFMA & BCCI. - Working on development and impact of proposed and notified rules & regulations. Show less

Assistant Vice President

• Jul 2006 - Aug 2007

India Compliance. FUNCTIONAL: - Advisory and issue management, policy and process formulation, control and testing, - Budgeting & co-ordination for Compliance, Operational Risk Manager for India Compliance, - Trainer/ custodian for internal/ external Codes of Conduct and compliance policies. COVERAGE: - Global Markets (FX & INR derivatives, Fixed Income and Trading, Commodity Derivatives AD desk) - ALM, Investment Office, - Merchant Banking and Special Investment Divisions. Show less

Manager

• Jan 2001 - Jun 2006

November 2003 to June 2006: Manager, Citicorp Affiliate Entities, Control and Compliance: FUNCTIONAL: - Review control procedures, implementation and assessments of control policies; - Management Representative for the ISO 9001:2000 certifications and re-certifications, - SOX and OCC processes and certifications. COVERAGE - Asset backed lending and lending against financial assets, - interest rate risk management, ALM and derivatives, - fixed income and securitization. …for Citibank’s corporate and consumer banking affiliate NBFCs (1) Citicorp Finance (India) Ltd, (2) Citicorp Maruti Finance Ltd & (3) Citicorp Consumer Finance (India) Ltd.; September 2002 to November 2003: Senior Assistant Manager, Business Planning and Analysis: - Forecasting, reporting, trend analysis of the business segment/ product wise split of revenues of the Corporate & In-vestment Bank, preparing and presenting client, geography and product centric assessments. January 2001 to September 2002: Junior Assistant Manager, Clearing Services & Projects: - Clearing operations officer, centralized Mumbai clearing division, process enhancement & risk mitigation projects to re-duce cycle time and improve controls. Show less

Manager

• Apr 2000 - Dec 2000

Marketing Manager, J.M. Capital Management Limited (JM Mutual Fund, part of the J.M. Morgan Stanley group). - Marketing & advertising, presentation material, SEBI and AMFI coordination for prospectus related matters. Marketing Manager, J.M. Capital Management Limited (JM Mutual Fund, part of the J.M. Morgan Stanley group). - Marketing & advertising, presentation material, SEBI and AMFI coordination for prospectus related matters.

Manager

• Aug 1998 - Nov 1999

August 1998 to December 1999 (Pre-Qualification): Manager – Finance, Luetkehaus Consultancy Services Pvt. Ltd - Management of accounting, MIS and maintaining statutory compliance obligations for German based clientele in India, including FIPB, ROC and Income Tax matters. August 1998 to December 1999 (Pre-Qualification): Manager – Finance, Luetkehaus Consultancy Services Pvt. Ltd - Management of accounting, MIS and maintaining statutory compliance obligations for German based clientele in India, including FIPB, ROC and Income Tax matters.