PVT (Pretty Versatile Template)
RUM M C
Associate Director (AD)
Wrocław,Lower Silesian Voivodeship
Summary
Results-oriented compliance and risk management professional with 13+ years of global experience in regulatory frameworks, surveillance operations, and model governance. Recognized for leading strategic initiatives that enhance compliance efficiency, reduce false positives, and streamline post-acquisition transitions. Adept at driving process optimization, managing cross-functional teams, and delivering scalable, data-driven solutions. Trusted for fostering collaboration, maintaining business continuity, and delivering high-impact results in dynamic, high-pressure environments. - EU Blue Card holder.
Overview
15
15
years of professional experience
5
5
years of post-secondary education
3
3
Languages
3
3
Certificates
Work History
Associate Director (AD), Communications Models
UBS
Wrocław, Lower Silesian Voivodeship, Poland
01.2024 - Current
- Played a key role in the successful transition of compliance operations during the UBS-Credit Suisse integration, ensuring business continuity through effective coordination and stakeholder alignment.
- Reviewed proposed regulatory changes and evaluated potential impacts on business operations.
- Developed and implemented automated compliance reporting frameworks to enhance transparency, improve efficiency, and support data-driven decision-making.
- Led the optimization of Electronic and Audio Communications Compliance Models, introducing a streamlined alert definition review process that reduced false positive lexicon-based alerts by approx. 70%.
- De-scoped and decommissioned legacy vendor-based eComm and aComm models, successfully migrating monitoring capabilities to more scalable and efficient in-house systems.
- Enhanced KMPI (Key Model Performance Indicator) methodology using both statistical and non-statistical analysis, aligning performance measurement with risk appetite and business objectives.
- Recognized with performance awards for resolving both critical and non-critical issues and proactively addressing model monitoring concerns, reflecting a strong balance of individual contribution and team collaboration.
- Owned and maintained the Book of Work (BoW) across multiple model streams, ensuring timely status updates and alignment with Model Governance requirements.
- Identified compliance gaps and proactively implemented mitigation strategies during key organizational transitions, including regional employee migrations and structural changes.
- Maintained and updated model documentation using the PVT (Pretty Versatile Template), a standardized and customizable PDF-based tool for tracking model changes and enhancements.
- Defined clear targets and objectives and communicated to other team members.
- Prepared and presented key monthly reports in internal forums, highlighting model performance, updates, and compliance metrics for stakeholder review and strategic decision-making.
- Trained and onboarded new team members, accelerating their transition to full productivity and ensuring seamless integration into daily operations to maintain process efficiency and team performance
- Prioritized tasks and allocated resources appropriately to keep teams focused and productive.
AVP, eComm Surveillance Effectiveness
Credit Suisse
Wrocław, Lower Silesian Voivodeship, Poland
01.2023 - 01.2024
- Conducted regular compliance reviews and implemented lexicon tuning and parameter refinements, significantly reducing alert fatigue and enhancing detection accuracy.
- Collaborated with global teams to share insights, optimize surveillance scenarios, and ensure alignment with enterprise risk appetite.
- Supported User Acceptance Testing (UAT) for surveillance system enhancements and delivered stakeholder reports to uphold system integrity and compliance standards.
Assistant Manager, Invoice Billing
State Street
Bangalore, Karnataka, India
05.2022 - 01.2023
- Led the successful transition of billing operations from Europe to India by training teams, standardizing processes, and sharing best practices to ensure smooth and efficient implementation.
- Streamlined accounting operations and optimized infrastructure, enhancing billing efficiency and cross-functional collaboration across regions.
- Drove improvements in invoice accuracy through effective stakeholder engagement and strategic data management.
- Facilitated team-building activities, enhancing team cohesion and morale.
Associate Manager, Global Market Surveillance
HSBC
Bangalore, Karnataka, India
06.2018 - 02.2022
- Proactively monitored real-time eComms across Global Markets (FI, Equities, FX) via Bloomberg, mitigating compliance risks through timely escalations and warnings.
- Streamlined surveillance processes by enhancing Joiners, Movers, and Leavers (JML) tracking, improving data integrity and monitoring accuracy
- Led historical trade activity reviews, presenting critical findings to stakeholders for risk-informed decisions.
- Delivered impactful MI and trend reports—including OOH (Out of Hours) activity summaries and Audio Monitoring (GAS) insights—improving regulatory reporting precision.
Technical Coordinator, Clients Accounts & Income
Northern Trust
Bangalore, Karnataka, India
07.2011 - 06.2018
- Oversaw task allocation and monitored team performance, boosting productivity by ~30% through Excel training for 40+ team members—reducing errors and significantly improving turnaround times on client account updates, including Trusts, Estates, and Agencies
- Strengthened KYC compliance by partnering with 2LoD and Relationship Managers to ensure accurate and up-to-date documentation for account lifecycle management.
- Acted as Privacy Champion for the Wealth Department, leading department-wide training on data privacy controls and compliance best practices.
- Delivered seamless client service by managing income collection and dividend processing, and accurately reconciling and reporting CASS transactions using data-driven analysis.
- Directed the implementation of end-to-end macro processing with Macro IT, reducing income and trading processing time by 45% while enhancing accuracy.
- Implemented best practices in data management, ensuring the security and integrity of sensitive information.
Content Analyst, Client Contract Analysis
Thomson Reuters
Bangalore, Karnataka, India
10.2010 - 03.2011
- Analyzed client contracts, performed revenue trend reporting, and improved billing accuracy
Education
MBA - Financial Accounting
Sikkim Manipal University (SMU)
Bangalore, India 07.2008 - 10.2010
Post Graduate Program Mgmt. (PGPM Diploma) - Financial Management
IBMR - IBS College
Bangalore, India 07.2008 - 12.2010
Bachelor of Business Mgmt. (BBM) - Financial Accounting
University of Mysore
Mysore, India 04.2005 - 07.2008
Skills
MS Office Suite
undefinedAccomplishments
- Led Compliance Transition Post-Acquisition: Played a pivotal role in the seamless transition of compliance processes during UBS’s acquisition of Credit Suisse, ensuring business continuity and stakeholder alignment.
- Enhanced Model Performance: Improved Electronic & Audio Communication Surveillance Models by reducing false positives by 60–70% through strategic lexicon tuning and alert recalibration, significantly boosting monitoring accuracy.
- Streamlined Surveillance Operations: Successfully decommissioned outdated vendor-based models and migrated monitoring activities to robust in-house solutions, optimizing efficiency and reducing operational risk.
- Reporting Automation & Insight Generation: Designed and implemented automated compliance reporting frameworks, delivering actionable insights and enhancing strategic decision-making through KMPI metric reporting and MI analysis.
- Recognized Contributor: Earned recognition for resolving critical compliance issues swiftly and collaboratively, supporting a high-performance culture within global teams.
- Boosted Team Productivity: Delivered Excel training to 40+ team members, resulting in a 30% increase in accuracy and efficiency of client account operations.
Disclaimer
I hereby declare that the above information is true and accurate to the best of my knowledge.
Credentials And Activities
- EU Blue cardholder, 06/2023, 06/2026, Poland
- Agile foundation & Scrum Master, Credit Suisse, 2023
- Train The Trainer Certificate (TTT), Northern Trust, 2018
- Toastmaster (Public Speaking Forum), Northern Trust, 2017-2018
- Python Beginner Class, UBS in 2024
Certification
Train The Trainer Certificate (TTT)
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
swipe to browse
Affiliations
- Local Professional Groups & Networks (e.g., in Wrocław, Poland) - Active participant in local financial, compliance, and risk management networking events, contributing insights on regulatory trends and process optimization.
- Engaged in privacy and data protection standards, participating in discussions about emerging privacy laws and helping to implement organizational data protection practices.
Work Preference
Work Type
Full TimeWork Location
On-SiteRemoteHybridImportant To Me
Career advancementWork-life balanceCompany CultureFlexible work hoursPersonal development programsHealthcare benefitsWork from home optionPaid time offTeam Building / Company RetreatsPaid sick leave4-day work weekQuote
There’s no shortage of remarkable ideas, what’s missing is the will to execute them.
Seth Godin
Software
Fundmaster
Global Relay
MS Office Suite
GCM/ WCM
Surveillance and Compliance Tools
Languages
English
Advanced (C1)
Hindi
Advanced (C1)
Nepali
Bilingual or Proficient (C2)
Interests
World Travel & Cultural Exploration
Hiking / Adventure Sports
Photography
Timeline
Python Beginner Class
04-2024
Associate Director (AD), Communications Models
UBS
01.2024 - Current
Agile foundation & Scrum Master
03-2023
AVP, eComm Surveillance Effectiveness
Credit Suisse
01.2023 - 01.2024
Assistant Manager, Invoice Billing
State Street
05.2022 - 01.2023
Train The Trainer Certificate (TTT)
06-2018
Associate Manager, Global Market Surveillance
HSBC
06.2018 - 02.2022
Technical Coordinator, Clients Accounts & Income
Northern Trust
07.2011 - 06.2018
Content Analyst, Client Contract Analysis
Thomson Reuters
10.2010 - 03.2011
MBA - Financial Accounting
Sikkim Manipal University (SMU)
07.2008 - 10.2010
Post Graduate Program Mgmt. (PGPM Diploma) - Financial Management
IBMR - IBS College
07.2008 - 12.2010
Bachelor of Business Mgmt. (BBM) - Financial Accounting
University of Mysore
04.2005 - 07.2008
Similar Profiles
Ayman BelaoucheAyman Belaouche
Client Account Manager (NE, WE, GR/CY & APAC) at UBSClient Account Manager (NE, WE, GR/CY & APAC) at UBS
Tyler TrainorTyler Trainor
Veterans Associate Program at UBSVeterans Associate Program at UBS
Hemang PanchalHemang Panchal
Product Analyst at UBSProduct Analyst at UBS