S.K. Wasim Hussain

• Setting up of customer accounts in the mainframe database facilitating the settlement of trades for FXMM. • Loading Standard settlement instructions of the client in the database (GBS) using SWIFT messages to enable straight through processing (STP) for FX payment for both Banks & Corporate clients. • Loading the standard settlement instructions for Bank Broadcast with a future date value. • Supported the different regions like EMEA, US & Japan clients. • Loading CLS (Continuity linked system) Standard settlement instructions of the client in the database (GBS) to enable straight through processing (STP

Responsibilities: • Managed FXMM Settlements team and worked across regions. • Building a strong relationship across all global hubs with various teams like FO/MO/Static/Reconciliation and internal teams. • Reviewing of SOPS (standard operating procedures) and implying controls to make process an error free. • Managed client issues, escalations and Team Issues/Concerns. • To Conduct Performance Reviews and ensure that adequate action plans are placed to bring up the performance levels in case of underperformance of team members. • To Conduct Team Meetings / Reviews periodically and provide feedback to team members & line manager. • Maintained professional work environment in BCP situation, report any concerns to LM. • Regular updates to Top management, documenting statistics and presenting it. • Knowledge on Document Management System, Quality records management and Organizational training compliance

• Plan quarterly audits and evaluate existing internal controls for internal departments. • Maintain & oversee security policies, processes and standards/guidelines to address all applicable ISO requirements. • Evaluate the effectiveness of Risk management procedures that are currently in place and performing risk assessments on various standards and ensure all the policies and procedures are compliant. • Helps in providing appropriate strategic solutions by performing RCA on all the operational risk incident logs and followed by actions to mitigate future occurrence • Evaluate effectiveness of security program, identification of improvement areas & tracking its implementation. • Collaborate with other teams to plan and develop work program timelines, risk assessments, and other planning documents • Performed comprehensive audit on Exception Access Management as per SOX compliance framework. • Review Escalated Privileges for critical tools based on RBAC policy and ensure access is given on the need to have basis • Perform all the audit related activities to change management reviews & perform post implementation validations. • Produce and review audit reports for submission to internal lead auditor with reports detailing results of audits and provided recommendations for remediation, as well as follow up review of corrective action plans. • Recommend new methods to improve internal controls and operating efficiency • Responsible for auditing Information Security processes & procedures as per standards & best Practices. • Maintain all documents reports/audit records up to date. • Build strong relationships with all stakeholders to drive continuous improvement on Risk/Project governance processes. • Building excellent professional relationships with clients as well as internally within the firm. • Manage Review and Ensure Exceptional Client Service for all engagements handled. • Conduct meetings with Clients as well as within Team members for engagement status and updates. • Coordinate with the employees in case of any Non-Compliance and follow to closure of an action. • Connecting with higher level management on weekly and monthly basis to report audit status in both verbal and written settings to senior management. • Preparing internal audit reports and publishing on time.