Harish Narayan

Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, systems, and internal controls. Report risk assessment findings through various governance forums and develop business cases to influence business sponsors on the need for enhanced controls to mitigate risk. Assist with regulatory enquiries, pre-trade control implementation in line with regulatory requirements and firmwide risk appetite. Deep dive into business errors and provide insights to desk heads around the key themes and suggest controls to avoid recurrence of errors. Identify, assess, and offer insights on control needs for risk mitigation covering trade facilitation, IOI management, Trade adverts, DSOL implementation, Best-execution management etc., Host governance forum to discuss health checks and key risk issues across 7 locations in APAC. Rationalized the Squawk box usage within cash equities business thereby eliminating the risk of conflict of Information and cost save of approximately 100K USD per annum. APAC lead for implementation of regulatory reporting framework covering over 90 reports across APAC markets.

Lead Changes and drive efficiency to seamlessly support business growth whilst meeting Global and regional targets. Manage post execution activities like trade reconciliation, market risk management, trade confirmation, pre-matching, settlement and assist the back office with any post settlement queries. Oversee the offshore team and ensure the day-to-day activities are handled in an appropriate and timely manner. APAC representative for project management including business requirements gathering, creating functional specifications, documenting the JIRAs, obtaining business sponsorship and translating the requirements to technology for ease of understanding and project delivery. APAC lead for regulatory reports like China connect quarterly reporting, B-CAN submission, China A reporting and SEBI monthly reporting etc., Part of the client pitch-in and broker review meetings to introduce JPM product offerings (CTM, FIX, Traiana normalization, China connect offering, platinum coverage etc.,) to clients. Secure improved broker ranking from platinum clients by actively coordinating their requirements and re-engineering internal systems to cater to client requirements. Assist in simplifying complex booking models to enhance controls, transparent regulatory reporting and reduce costs. Hands-on experience dealing with Cash equities, Prime, Converts, and D1 flows including lifecycle management events. Expertise in vendor management applications like TOMS, Fidessa, OPS, NEOVEST, TRAIANA etc., and market data protocols like FIX, SWIFT, FTP, SMTP.

Middle office operations manager covering equity trade support and trading assistants

Team Lead at Cash Equities Middle Office

Managing Reconciliations for Equity, Fixed Income products and handle monthly Interest Payout activity. Oversee the daily activities and escalate issues for quick resolution. Handle projects to improve STP rates.

Primary contact for trade settlement across UK, Europe and Rest of the World markets. Post settlement custody reconciliations for Europe and Rest of the World markets. Major responsibilities include trade settlement, post settlement nostro and depot records matching, allocation, and investigation of breaks. Monitor incoming Swifts, initiate payments and route to appropriate internal team for timely actions.

Custody Reconciliation - Handling Nostro and Asset Reconciliations for the fifth largest global custodian in the world. - Handling first level of reconciliation and advising various departments of actions to be taken to resolve the discrepancies. - Intermediating with various departments for resolution of issues. - Creating Automatch categories to increase STP rate and efficiency.

- Conducated a study on “The Business Potential for Mutual funds – An HNI Perspective” for Way 2 Wealth Securities Limited, a broking firm. - Received University level scolorship during 2001-02.