Risk & Compliance
Experience
Cloud-based
Quantitative Modeling
and ML Ops
A scalable ML Ops toolkit to migrate SAS-based analytical modeling teams in Enterprise Risk to Amazon SageMaker. Automated onboarding, role management, and model lifecycle processes, significantly reducing model development and deployment timeframes while enhancing governance and scalability
Cloud Migration
and Credit Risk
Data Processing
Porting of Credit Risk data from an on-prem Netezza warehouse to AWS, leveraging S3 for data lakes and Redshift for high-performance analytics. A flexible ETL framework using DataSync, Glue ETL, and Apache Airflow, to enable faster month-end processing and supporting advanced risk modeling
Big Data Architecture
for Credit Risk
Databases
Re-engineering of legacy Sybase database for Credit Risk, to a cloud-based, big data architecture. Logical segregation of banking book, trading book, and securities finance transactions enabled parallel processing of month and quarter-end activities, improving performance by 70%
ETL Framework to
Streamline Counterparty
Credit Risk
Domain-specific Language (DSL)-based ETL Framework using domain for seamless data transformation and allowing multiple data feeds with minimal adjustments, resulting in zero downtime amid trade reference data changes, and 15% faster onboarding of new data
Modernization of
Enterprise Risk Limits
and Utilization Monitoring
Transformation of enterprise risk applications for limit management, utilization tracking, and exception handling using modernized dashboards and distributed architecture. High-performance, scalable solution with intuitive visualization and analytics for proactive risk monitoring
Intelligent Employee
Due Diligence
Re-engineering from monolith to microservices-based multilingual platform with automated employee trading analysis for conflict detection, insider trading, and misconduct. Chatbot integration to provide guidance and real-time reporting dashboards for global compliance officers
Advanced Trade
Surveillance and Market
Conduct Monitoring
Surveillance solutions to detect market manipulation, including spoofing, front running, and wash trades. Predictive analytics and behavioral indicators from transactions and communications to enhance the accuracy of alerts and streamline compliance workflows
Dynamic Data
Archival and
Intelligent Retrieval
Data archival framework to optimize cost and scalability, transitioning from a Big Data platform to IBM COS S3, reducing storage costs by 20%. Batch retrieval with validation, detailed reporting, and intuitive dashboards
Control Group System
for Conflict Clearance
and Securities Restrictions
Re-engineering of the Control Group System, replacing legacy platforms with a microservices-based cloud architecture. Streamlined integration with primary data sources, supporting conflict clearance, securities restrictions, and advanced search for compliance teams across global markets
Regulatory Reporting
and Disclosure of
Interest Compliance
In-house Disclosure of Interest solution to centralize company information impacting investment decisions. Ensuring compliance with global regulatory mandates by enabling accurate disclosure of financial holdings, enhancing transparency, and mitigating regulatory risks
Integrated Conduct Risk
Management for Trade and
Communication Surveillance
Unified platform for trade surveillance, electronic communication monitoring, and information barriers for supervisor groups. Automated rule-based workflows and targeted alert generation by leveraging country-specific predictive and behavioral analytics, strengthening global compliance
