Shweta Raghunath

• Testing - Lead or manage 4-8 team members on operational risk control and targeted testing engagements. Develop testing strategies, hold a proven 3-year track record of independently securing senior stakeholder acceptance of review findings and meeting engagement deadlines.
• Engagements led or managed so far: Control testing reviews across operational risk, compliance and financial crime risk in CIB and commercial banking operations and financial crime teams and issue validations. Was also selected to manage a 2025 CRO mandated targeted testing review on the risk measurement programme data.
• Remediation oversight. Manage continuous business monitoring and stakeholder touch points to validate the implementation of corrective actions based on detailed root cause analysis for identified issues.
• Process improvement: delivered a major 6-month program improvement initiative for international testing and validation in Q4 2024, leading 8 VPs across EMEA and APAC to standardize international testing and validation templates and continue to direct the ongoing maintenance of the international testing framework.
• Team meetings: facilitated biweekly methodology briefings to the team to interpret and assess the impact of revised policies on current operating practises for 18 months.
• Leadership Recognition: recognised for impactful collaboration, critical thinking, and methodology expertise Demonstrating skills above current role and was selected to participate in the 2025 International Evolve Programme focusing on developing leadership skills and networking.
• AI integration and efficiency: Completed various in-house training on generative AI, including prompt engineering, and leverage Microsoft 365 co-pilot to a)refine professional communications (emails, reports, and presentations) b)analyse complex processes, for example, mapped interconnections across 60+ risk assessable units (RAU service model flow charts) to inform testing reviews c)automate testing deliverables such as walkthrough agendas, control design assessments, and test scripts, reducing initial draft turnaround time by approximately 50%

• Audits: led or executed end-to-end audits, presenting findings to senior stakeholders in formal wrap-up meetings.
• Recommendations, validated implementation evidence for audit recommendations.
• Global audits selected to lead the UK regional audit for a critical ECB and PRA reported group-wide COVID-19 transversal audit, managed by IG Central Paris on security services settlements.
• Data analytics: piloted Tableau training programme in 2020 and applied Tableau skills on all audits (2020-2022) to independently analyse, interpret, and visualise complex data for audit testing, significantly enhancing clarity of audit presentations.
• Audits and risk assessments performed: local and global custody settlements (security services). A separate COVID-19 assignment on global custody settlements, fund accounting financial reporting, and loan administration, warranty direct operations (insurance), asset management finance, real estate residential lettings and risk assessments across 15 audit units.

• Audit. Performed audits across commodities and global markets, businesses-GDPR, commodity markets-middle office, Corona Energy-operations (subsidiary) and control room - PA dealing and conflict of interest.
• Process Improvement worked closely with the data analytics team to identify opportunities to improve audit process effectiveness.

• Took a career break after completion of 10 years with Lehman/ Nomura spending 9 months travelling and an extended visit with family abroad.

Financial crime associate.

• Suspicious transaction monitoring. Investigated automated alerts across all businesses to identify unusual or suspicious patterns of transactions.
• Gap analysis. Leveraged deep product and infrastructure knowledge to identify critical data and mapping flaws in the transaction monitoring tool (Brakkets, Actimize), triggering a comprehensive front-to-back system review.
• Oversight: Oversaw offshore client screening and wire payment screening processes.

Global markets, derivatives, confirmations, SME:

• Operations management, subject matter expert: manage global OTC equity derivative confirmations to ensure adherence to ISDA, EMIR, and Dodd-Frank standards through cross-functional stakeholder coordination with clients, front office, and legal.
• Front office supervision: presented key risk metrics and industry benchmarking in weekly governance meetings with desk heads and significantly reduced aged outstanding confirmations.
• Oversight: Was the escalation contact for the offshore team reviewing emerging risks.
• Regulatory reporting: Reviewed data integrity of monthly Fed or EMIR submissions.
• Management information: Delivered high-level MI to track and improve KPIs.
• Industry working group: Represented Nomura for template standardisation.
• Offshore migration lead: Led the phased migration of confirmation processes to Mumbai, delivering onsite training in India and providing critical return to region support for settlements.

Operations senior analyst.

• Executed incoming confirmations across equity, credit, and fixed income derivatives.

• Managed verbal trade verification and trade confirmation processing for equity derivatives