Gunjan Malhotra

CS -UBS integration Jan2024-Dec2024

• Owned and prioritized the backlog to drive alignment of regulatory return submissions across UBS and Credit Suisse ensuring regulatory compliance and continuity post merger
• Spearheaded end to end delivery of the Migration Control Framework for regulatory returns, focusing on design, build an validation of local regulatory reconciliation controls.

Current

• Own and prioritize the product backlog for key regulatory reporting initiatives.
• Proactively identify risks associated with project timelines or deliverables, implementing mitigation strategies when necessary.
• Collaborate cross functionally with Finance and Technology to define and refine user stories aligned with regulatory mandates and business objectives/
• Define acceptance criteria , support UAT testing and ensure delivery of auditable reporting controls through continuous stakeholder engagement and feedback

• Participate in Project management activities like project scoping, tracking project costs, defining & tracking the project timelines, running the Project working groups and ensuring overall adherence to data and project governance activities.
• Gather user requirements, perform analysis of data gaps, downstream system impacts and documenting the same to ensure the clear and concise end user requirements are laid out and agreed.
• Liaise and co-ordinate with multiple teams, not limited to the COOs, Platform teams and Front Office teams to drive the solutions required to ensure user reporting requirements are met.
• Communicate the user requirements and work closely with the technical teams on the design and expected build.
• Preparation of the test scenarios and test strategy for the Functional and User Acceptance Testing.
• Participate in the testing phases, perform functional testing, facilitate end user testing and adoption of the specified solutions.
• Prepare relevant project artifacts in line with change governance and internal audit standards.
• Well versed with the agile framework.

• Key point of contact for the treasury, Legal Entity Finance, Liquidity Management Reporting, Audit and Tax teams for APAC treasury Product control related matters.
• Prepare the monthly, quarterly commentaries for the various management information packs.
• Prepare and present the P&L packs to the APAC treasurers.
• Be a part of the SOX Beginning of year and End of year processes, drafting the control forms and participate in the SOX testing for the team.
• Treasury PC as a team is the SME of the Tier A funding policy in the bank, hence key point of contact for the funding queries from the FO and other PC desks.
• Active participant in all treasury related projects.

• Have been part of various product control teams including Treasury PC, EMG PC and Converts. Well versed with the trade life cycle of the OTC, fixed income derivatives and treasury products.
• Analyse, explain, and validate P&L according to market moves, new trades and other influences.
• Liaison with the trading floor to ensure the timely and efficient resolution of trader queries and provision of other business support.
• Produce daily and monthly P&L commentaries accurately reflecting market moves vs. positions held.
• Liaise with Front Office IT, Back-office IT and other end users as to process development and other ad hoc queries.
• Reconciliation of general ledger.
• Perform month-end and quarter-end tasks, which include Account Ownership, Legal Entity and Regulatory reporting.

• Legal Entity Reporting
• Populate monthly, quarterly, and yearly disclosures in to reporting systems including the detailed explanation of significant balance moves. (Key focus areas: Loans)
• Participation in compliance testing such as SOX 404 and Account Ownership.
• Participate in meetings with internal and external auditors and with regulators, as required
• Month-end closing of the firm’s general ledger, balance sheet reconciliation and sign off, maintaining compliance with US GAAP and IFRS reporting standards, and identifying and correcting control gaps.
• Performing various reconciliations and reviewing daily activity in accounts which are populated by our trading systems and or Operations and Product Control.