Client Coordinator Risk Analyst

Surajkumar Krishnamurthy

*** **** ******, ***** #***, Toronto, ON M4C 4X2 289-***-**** ***********@*****.*** www.linkedin.com/in/surajkumar-krish

An enterprising MBA graduate with excellent exposure in the Governance, Risk & Compliance space. Specialized in executing internal audit, controls optimization, benchmarking, audit documentation, compliance reviews, SOX testing, and business process reviews for clients in the Financial Services, Manufacturing, Energy, Capital Markets, Information technology and logistics industry. Core Competencies Career Highlights

• Risk Management

• Data analysis and reporting

• Regulatory Compliance

• Relationship Management

• US GAAP, IFRS and SOX Compliance

• Financial statement analysis

• Efficiently set-up internal risk controls framework within business functions

• Identified control deficiencies and suggested

control improvements

• Ensured clients comply with varied statutory

laws, regulations and tracking latest

developments

• Liaised with internal & external stakeholders

TECHNICAL SKILLS

• MS Office Suite- MS Word, MS Excel, MS PowerPoint, MS Access, and MS Project

• ERP & CRM Software - SAP, and Microsoft Dynamics

• Macros, VBA, and Monte Carlo methodology

• Power BI, Tableau, IBM SPSS, Lotus notes, Bloomberg terminal,

• Broadridge, Fenergo, Orbis, PEGA KYC and World Check EDUCATION

Master of Business Administration, Business Management & Finance Sept 2017 – Apr 2019 Brock University - Goodman School of Business, St. Catharines, Ontario Bachelor of Commerce, Finance & Accounting Apr 2011 – Mar 2014 Loyola College (Autonomous), Chennai, India

CAREER EXPERIENCE

Analyst, Client onboarding, CIBC Capital Markets, Toronto (Full-time) Mar 2021 – Present

• Managed client onboarding requests from varied business lines across the bank and ensuring the clients are onboarded based on the due diligence policy and regulatory framework applicable for UK, Europe and Canada

• Interacting with clients and relationship managers on a day-to-day basis to gather documents as per the standard requirements and provided relevant solutions to due diligence and product related queries

• Carried out due diligence for diverse clients/non-client counterparties by following the internal standard procedures and complying with MiFID, Canadian OTC/Derivatives compliance, EMIR, and FATCA regulations

• Updating the client records on the client onboarding and regulatory application known as Fenergo and dealing with the assigned users in the completion of workflow tasks.

• Effective completion of pending onboarding tasks and successfully analyzed and mitigated deficiencies in the overall process using MS-office suite tools including Power BI and MS SharePoint. AML Refresh Specialist – Scotiabank, Toronto (Contract) Oct 2019 – Mar 2021

• Performed data cleansing by searching legal entities in Fenergo and MS SharePoint in support of Offboarding, KYC periodic refresh, and global market coordination.

• Analyzed client’s data in MS-Excel using advanced excel functions, tools, graphs, and Pivot tables.

• Worked on enhanced due diligence of the bank's clients and regular updates of client's information in support of client onboarding activities, Populating data on Fenergo, evaluating risk ratings, analyzing financial statements of clients, and complying with other regulatory policies

• Ensured compliance with the banking laws and regulations such as FATCA, CRS, Dodd-Frank, and MiFID

• Effectively screened clients based on due diligence, sanctions policies and built a dashboard on Power BI for 1,500 fictitious client records from the database, reconciling datasets on MS Excel, and identifying exceptions in the records.

• Provided appropriate response to offboarding requests, follow-ups, other internal queries through email and voice communication promptly.

• Trained a group of 5 new analysts on due diligence process and worked on quality control assurance for offboarding activities.

Consultant, Financial Services - Ernst & Young, LLP Canada, Toronto (Contract) Aug 2019 – Oct 2019

• Executed SOX 404 testing based on the testing attributes designed, audit scope, and requirements for a Canadian Chartered bank and multinational financial services company in Canada and the United Kingdom.

• Experienced in analyzing the raw data generated from database tools such as PEGA.

• Evaluated the operational effectiveness of 15 key internal controls/metrics

(Reconciliation and Settlement of funds) relating to capital market operations process.

• Reported the control deficiencies upon testing the audit samples based on the data received.

• Documented the test results of the financial analysis conducted based on the testing attributes designed, audit scope, and requirements by using MS-Excel tools and PowerPoint presentation decks

• Organized team meetings and presented the audit observations identified to the senior management, external stakeholders and client coordinator - delivery during the interim OE testing phase.

Risk Analyst, Risk Advisory Services – Ernst & Young, LLP, Chennai, India Apr 2014 – May 2016

• Carried out SOX compliance reviews and internal controls testing based on US GAAP standards and statutory regulations for Financial Services, IT, Manufacturing and logistics companies.

• Periodic meeting with directors, financial controller, C-Suite Executives, and other stakeholders to discuss the audit observations and control improvements suggestion based on the evaluation of the current state of the processes by performing Cost-benefit analysis, demand and supply planning, financial forecasting and financial statement analysis

• Streamlined the overall business processes of clients by designing Process flows, Risk control matrix, and developing Standard operating procedures.

• Provided advisory support to a leading logistics company to effectively reduce the costs by suggesting third party logistics and supply chain optimization techniques.

• Performed independent walkthroughs, gathered audit evidence, and carried out controls testing on audit engagements for clients across various industries nationwide to measure the control effectiveness.

CERTIFICATION

• Certified Investment Banking Operations Professional – Imarticus learning

• Power BI Essential Training – LinkedIn learning

• Learning Jira Software – LinkedIn learning

VOLUNTEERING ACTIVITIES

• Tree plantation drives, beach cleanup drives, annual clothes collection drives, and blood donation campaigns at Ernst & Young, LLP India

• Community outreach program initiatives at Loyola College (Autonomous), Chennai, India

Contact this candidate