Glen Pereira
Assistant Vice President - Compliance Risk Management
Mumbai
Summary
Experienced financial industry professional with 16 years of comprehensive expertise. Proven track record of implementing and managing compliance surveillance program ensuring regulatory adherence and control & risk assessments. Adept at leveraging industry knowledge to develop and optimize processes to drive operational excellence. Strong leadership skills with a focus on fostering collaborative environments to achieve organizational goals.
Overview
16
16
years of professional experience
4
4
Languages
Work History
Assistant Vice President - Compliance Risk Mgmt
Citibank CSIPL
09.2021 - Current
- Managing Electronics Communications surveillance team for Asia Clusters for Markets, Banking and Wealth business.
- Maintaining Oversight on BAU activities and deliverables to ensure processes are carried out as per KPI requirements and timely escalations to management on new and persistent issues.
- Performing Quality checks of Level 1 reviews and ensuring timely completions and reporting to senior leadership.
- Maintaining and periodic review of procedural documents for Level 1 process to ensure alignment of process with regions globally.
- Oversight and control check reviews of manual processes like population management, maintaining privacy limitations, record keeping and archival of data, etc.
- Leading Internal and external audits, oversight on team engagement and audit deliverables.
- Identifying automation requirements in process and ensuring its implementation and controls.
- Engaging with Country/Product Compliance / Regional surveillance teams and Process development teams to align understanding of process, issues and challenges.
- Established high-performance culture within team by setting clear expectations and providing regular feedback on individual performance goals and contributions.
Manager - IB Business Controls (Electronic Communication Surveillance)
Credit Suisse
04.2019 - 08.2021
- Managing electronic communication Surveillance team for First line of business in the Americas region, performed second level reviews for escalations from EMEA region and quality checks on L1 reviews.
- Periodic review of Process to ensure consistency between regions and oversight on team activities, reporting, stake holder communications ensure error free process and reporting.
- Leading global calls with Coverage Compliance, Business Control heads and Business COO's in regards to case study observations, process updates and improvements, lexicon refinements and policy trend analysis
- Lead process transition for Capital Markets business whilst ensuring system readiness and obtaining required compliance and legal approvals.
- Maintaining and updating controls in OME tools.
- Have undertaken walk through on Surveillance tools and Controls for Business COO's and Supervisors.
- Suggesting and driving team on process enhancements and automations on manual tasks.
- Helped prepare Controls New bulletin on behalf of IB COO.
Assistant Manager - Compliance (Electronic Communication Surveillance)
Citibank CSIPL
04.2016 - 04.2019
- Responsible for Voice surveillance for APAC region for markets/ banking and Wealth businesses.
- SPOC for Policy refinements in Voice surveillance systems (NICE CS) for APAC.
- Performed UAT on Surveillance systems to ensure proper application of policies and provide inputs for refinements.
- Was engaged in Markets conduct initiatives for expansion of voice surveillance across all regions in APAC.
- Performed BAU activities in addition to surveillance such as population reconciliations, MIS reporting's to Senior management, process control enhancements and procedure updates.
Senior Analyst - Compliance (Electronic Communication Surveillance)
Nomura India Services Ltd.
01.2014 - 04.2016
- Performing Electronic communications surveillance for APAC region which involved ad hoc look backs for compliance issues, MIS reports, sending policy notification to employees, KPI reporting to regional stake holders, maintaining breach logs and managing escalations.
- Performed Risk Assessments of policies via lexicon refinements and ensured regular updating of operating procedures.
- Monitoring and blocking multi chat rooms on Bloomberg and Reuters platforms.
- SPOC for EUC policy for compliance department.
Senior Ops Analyst – Equity Issuance Group, Inducement Fees Management
Deutsche Bank Operations International (DBOI)
03.2010 - 12.2013
- Drafting Legal Fee Distribution Agreements (under ISDA) for clients distributing Structured Equity Derivatives Products globally (options/ futures / warrants)
- Involved interactions with Sales and Trading Desk for fee Management like guiding sales and sales-support teams for client adoption and onboarding in cash settlement systems, Calculation, validation and estimations of inducement fees for clients, supporting trading desk with any unclaimed inducement fees and PNL releases and interactions with middle office/settlement teams for bookings and cash settlements.
Operations Analyst - BA/ Central Finance Team
Deutsche Bank Operations International Birmingham, UK
05.2009 - 02.2010
- Managed recoveries and billings, performed cost analysis – direct, indirect cost, IES, CRES, Etc., forecasting for QRM, MIS reporting, FTE/ Headcount reconciliations for project transitions.
- Business Administrator to Managing Director of core operations. Responsible for MD's Business management initiatives like presentation and implementation for communication channels, team feedback management, prepared sales pack for Birmingham Business unit and Governance Documents for Steering and operations Committee for sales Tracking.
Process Executive - Debt Asset Services
Deutsche Bank Operations International Pvt Ltd (DBOI)
04.2008 - 04.2009
- Report Management, security set up, event notifications to Brokers, Reconciliation of failing trades, file closure of trades, releasing comp payments to clients and chasing clients.
Education
Diploma in International Business Practice -
Mountbatten University
London, UK 04.2001 -
Bachelor of Science - Life Sciences And Biochemistry
St. Xaviers College
Mumbai, India 04.2001 -
Skills
Excellent Communication
undefinedAccomplishments
- Appeared for a competitive examination in Deutsch Bank and was selected for a diploma program in London.
- Was awarded the annual excellence award for compliance in Nomura for working on an automation project for the Compliance departments capacity utilisation and developing Excel macros for compliance programs like trade surveillance.
- Part of the PRIDE Diversity and Inclusion ERG, driving inclusion initiatives for the LGBTQIA+ community at Citi India.
- Was awarded the Star excellence Award in Citi for process control streamlining.
Timeline
Assistant Vice President - Compliance Risk Mgmt
Citibank CSIPL
09.2021 - Current
Manager - IB Business Controls (Electronic Communication Surveillance)
Credit Suisse
04.2019 - 08.2021
Assistant Manager - Compliance (Electronic Communication Surveillance)
Citibank CSIPL
04.2016 - 04.2019
Senior Analyst - Compliance (Electronic Communication Surveillance)
Nomura India Services Ltd.
01.2014 - 04.2016
Senior Ops Analyst – Equity Issuance Group, Inducement Fees Management
Deutsche Bank Operations International (DBOI)
03.2010 - 12.2013
Operations Analyst - BA/ Central Finance Team
Deutsche Bank Operations International Birmingham, UK
05.2009 - 02.2010
Process Executive - Debt Asset Services
Deutsche Bank Operations International Pvt Ltd (DBOI)
04.2008 - 04.2009
Diploma in International Business Practice -
Mountbatten University
04.2001 -
Bachelor of Science - Life Sciences And Biochemistry
St. Xaviers College
04.2001 -
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