Life Insurance Information Security

Shraddha Shah (FRM, Bachelor of Commerce in Accounting and Finance)

Mobile: +971-**-***-****

Email: adgzqw@r.postjobfree.com

PROFESSIONAL SUMMARY:-

FRM Charter holder working with leading Investment Bank and hands-on approach for understanding problems and accomplishing goals. Additional one year of experience as Risk Management Executive for the leading broking Firm and one year of experience as an Assistant for Chartered Accountant. WORK EXPERIENCE:-

Morgan Stanley India as Compliance Analyst from Nov 2018 to August 2020. Roles and Responsibilities:-

Surveillance of internal Morgan Stanley Employees Trading activities, Information security and supporting the implementation of the Firms Operational Risk framework.

Reviewing and tracking Trades of Morgan Stanley Employees who have Material Non Public Information (MNPI).

Monitoring personal trading activities of employees assure Firm wide control to recognize Risk and to prevent risk of Insider’s trading.

Responsible for guiding employee on their responsibilities towards Disclosures, Personal Investing, Insider’s information according to firms Operational Risk framework.

Reviewing Daily Employee trading report ensuring compliances under the various rules & laws and ensuring that the procedures are followed.

Identifying violations and advising on corrective measures for breaches.

Responsible for Follow up for statements and updating OBI (Outside Business Interest) records with statements and translating statements (Spanish to English) for further Compliance review.

Checks on RL/WL (Restricted list and watch list) trades as per compliance policy and procedure.

Processing of OBI approval and Closures of outside accounts for Wealth management employees.

Additionally while doing the above process I got good amount of exposure of using software’s like ISGRCM, 3D,Boxi, ACM, OBI’s and EIAC.

Nirmal Bang Securities Private Limited as Risk Management Executive from July 2017 to Oct 2018

Roles and Responsibilities:-

Responsible for analyse risk of all assigned Indian region’s Sub Brokers as well as the Franchises and take appropriate actions depending on market conditions.

Ensuring compliances with Exchanges & SEBI under the various rules & laws and ensuring that the Procedures are followed.

Maintaining the client’s margin and their intraday position on daily basis and follow risk control mea sures in the securities markets.

S B R & CO Chartered Accountants from May, 2016 to June 2017. Roles and Responsibilities:-

Reconciliation of TDS in Star India Private Limited (Star Plus) i.e. payment actually made with SAP System.

Various types of Audits like VAT audit, Bank branch audit.

Assisting companies in Enrolment for GST (Goods & Service Tax). COMPUTER PROFICIENCY:

Well versed with MS office, income tax filling software’s and basic knowledge for accounting software’s like Tally 7.2 & Tally 9.0

Risk Monitoring Software’s (LD Rakshak and LD Addon)

OBI System and other Monitoring Systems like EIAC US, BOXI, 3D, Qwest. EXTRA CURRICULAR ACTIVITIES:

Participated in Workshop on ' Creating Awareness about Financial Market For Future Investors’ organised by Baroda Pioneer Fund.

Cleared NISM -series VIII Module- Equity Derivatives

Participated in Summer internship conducted by 'Birla Sun Life Insurance Company Limited' - attended various modules viz.,

Equity Module covering Equity trading and Mutual funds)

Marketing Module

Communication Module

EDUCATIONAL QUALIFICATION:-

Qualification University/

Board

Percentage

Scored Year of Completion Remark

Financial Risk Management

(FRM)

GARP Passed May 2019 Certified

Bachelor of Commerce in

Accounting and Finance

Mumbai

University

88.67 March 2016 Distinction

PERSONAL DOSIER:-

Date of birth 6th October, 1995

Passport No U6031930

Marital Status Married

Visa Status Visit Visa

Languages Known English, Hindi, Marathi, Gujarati

Residential Address 404, Al Ghurair Building, Mankhool, Bur Dubai, Dubai, UAE. The above statements are true to best of my knowledge and belief. Regards,

Shraddha Shah

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