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<pre>Array ( [var] => cut_url ) </pre> Resume for Kevin R P. for Attorney / Paralegal / Banking in London, United Kingdom. Search More Resumes for Attorney / Paralegal on #NP9II73I9

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Resume for Kevin R P. for Attorney / Paralegal / Banking in London, United Kingdom

Occupation: Attorney / Paralegal Industry: Banking
Country: United Kingdom City: London
State: London, City of ZIP: HA9 7DY

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Kevin R.P.
, Cecil Ave, Wembley, London HA DY.Mobile No:+ /
Email –
National Insurance: SLB
Summary: An Accomplished Professional with over years of experience in Banking and Financial Services
having Crossfunctional experience in Credit/Risk Management, Compliance Control Room, Insider Trading, Global
Personal A/c Trading Policy, Outside Business Activities, Project Management,Training,People Management.
Work Experience:
August – December . The Royal Bank of Scotland RBS – London, UK
Compliance Officer – Global Control Room Operations EMEA
> The Global Control Room is responsible to detect and prevent the misuse of Unpublished Price Sensitive
Information through the administration and monitoring of GBM’s Chinese wall procedures to safeguard the
Bank from any risks.
> Maintenance of Global Marketing, Watch List and Restricted List, as required by The Market Abuse Directive
and FSA.
> Coordinating with Compliance BU, Regional coordinators and Local Compliance LC working towards
quick responses to answer queries that arise from the business or local compliance as to the meaning or various
restrictions that are in place.
> Recording of Chinese Wall Crossings where we crossover the Research Analyst by giving him temporary access
to Private side from Public Side and vice versa. Identification and escalation/ Clearance of Potential conflicts of
Interests as well as providing advice and monitoring of Regulatory Developments and maintaining a central
register of Insider Lists for completed transactions.
May – August . Lillywhites Sports London, UK
Customer Service Assistant
> Work out entire merchandising, ordering and maintenance features along with necessary cash and inventory
control as Till Operator.
> Filling up the display racks as well as Assist the supervisor to take account on stock lists and display products.
> Provide assistance to customers on their queries and products.
February –February . Credit Suisse – Pune
Associate – Control Room Operations Compliance Control Unit
> The Control Room Operations Department is responsible for the Compliance Reviews, Collection, processing
and Monitoring of Employees Personal Account Dealing data.
> To ensure all Deal Preclearance Requests are processed within the accepted turnaround time.
> Maintenance of Watch List and Restricted List, as well as Maintenance of “Insider Lists” as required by the
Market Abuse Directive and FSA.
> Administering the Group Personal Account Dealing Policy GPADP to the permanent insiders and wholesale
banking insiders this includes concluding the roll out of policy,Proactively assisting with the implementation of
procedural or functional improvements across the business units.and procedures to all employees.
> Working closely with the Legal and Compliance Network and providing high quality advice to the employees
and also ensuring that compliance breaches are dealt with in a professional manner.
> Groupwide roll out of an automated compliance system to countries, which requires training UAT Liaise
with IT Support with ongoing maintenance of the Legacy System and advice to the Insiders
> Monitoring, analysing and checking of employee dealings mostly buying /selling shares, Approved Persons
List to ensure that there are no breaches against the policy.
> Reporting breaches/insider trading to the relevant individuals and reporting directly to the Assistant
Vice President, as well as perform data analysis on the data held by CCU.
> To followup on Breaches and Reminders on a timely basis to safeguard the Bank from any risks.
January – February JP Morgan Chase Bank N.A–Bangalore
Sr Lead Operations Specialist
Portfolio Management Center Team:
> Processing payments, fee waivers, researching and processing recoveries as well as taking care of all monetary
and nonmonetary requests for Business Banking.
> Researching on customer’s account with regard to payments made, payment schedule set up, interest
calculation.US Markets
> Coordinating with a team of People in delegating the tasks or work queues
to them.
> Resolving queries and concerns related to the customer accounts.
> Overseeing the % Quality Check for members for monetary and nonmonetary transactions.
> Ensuring internal audit and compliance controls are in place to mitigate risks in the process.
> Maintaining the productivity log and preparing monthly MIS for the team.
> Handling the PMC mailbox, which is the source of the workflow for the entire team.
Legal Loan Exception Review:
> Review source documents prior to contacting PMAs and attorneys of the Law Firms to ensure the validity of
exception, which deals in the research of the missing or discrepant legal loan documents cited as an exception.
US Markets
> Report generation of the outstanding exception detail report with updated
comments to GCRM MO Data Quality Group Risk Monitoring on weekly
basis via Loan IQ.
> Prepare metric reporting around responsiveness of Legal Counsel, Client Credit
Managers and PMAs.
> Identify and escalate chronic issues Eg: Attorney closing checklist, Non removal of previously resolved
exceptions, citing aged exceptions not previously cited.
> Ensure all service levels agreements; audit and compliance requirements are met and perform data quality
April – January HSBC Bank Bangalore
Processing Specialist
> Processing of Legal Notices and overseeing Quality Control of jobs processed by team members Dealt with
Restraining /Freezing of money in accounts of various Tax Defaulters and Judgment Debtors against whom a
Legal Notice is issued to the Bank either by the New York State or an Attorney of the New York State.
> AMO backup and the Process Specialist for the team, solving process related queries as well as manage the
team in absence of Line manager.
> Extensively involved in mentoring new team members onvarious queues of the process
as well as giving them timely feedback.
> Prepare Metric Reporting, Collation of Time Capture System TCS as well as the Management Information
System MIS on weekly/ monthly /daily basis.
> Leading the Quality Control team and taking responsibility for analysing error logs of the team members.
Education & Qualifications:
October MA Management London Metropolitan University UK
Modules include: Organisation and Management, Strategic Management, Event Management,
Specialisation: Management Research,Consultancy and Project Management.
Dissertation: “The Impact of Leadership and Employee Retention after a Post Acquisition and Merger” ,
words to develop or further enhance my skills through research, management strategies.
December BA Tourism Studies Indira Gandhi National University, Delhi, India
Project management:
> Work on various applications like GLACMS, ACBS, VLS, DTCC, Prism, CMS and Bloomberg, I Vault
migration of new platform to Loan IQ. Created a QC Data base for logging errors, Metric Reporting on the
response time around the responsiveness of Legal Counsel, Client Credit Managers and PMAs .
> Integration and Migration of AFS Application to ACBS.
> Knowledge of Project planning tools and techniques, such as MSProject, Excel methodologies.
> Completed projects on time and on budget delivery.
> Excellent communicator achieved by preparing and delivering presentations to lecturers and colleagues at work
and university.
> Developed training strategies for new staff to integrate them into the organisation.
> Writing skills developed through producing documentation and reports such as KPI, Loan IQ, MIS, Rel Report.
> Communicating to diverse groups has enabled me to adjust my delivery to meet specific needs.
Teamwork & Leadership:
> Actively participated in team events, worked in groups to produce results such as managing cross
functional departments and teams which have taught me the strengths of teamwork and the sharing
of ideas.

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