Risk & Compliance Governance  [ Budget: $1.5m   Resources: 5FTE   Duration: 3months ]

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Trade Capture and Revenue Reconciliation System was declared strategic system to be implemented globally and across Rates/Credit/GEM business groups but failed to comply with bank’s compliance and risk standards.



It meant changing the support process by removing developer access to PRD environment, securing and logging all key access changes to the system and implementing “Plan-Build-Operate” model support structure.

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Completed risk and compliance assessment trainings and gathered requirements through regular discussion with Risk/Compliance Managers. Documented Technical support techniques & personally trained 2nd level operate teams based in Houston and Singapore. Setup up processes for L1 user support, downtime resolution plans, Start/End of day activities, releases and disaster recovery exercises.

System was declared compliant and rolled out to several additional business groups as a strategic solution, leveraging cost and resources.

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