1. ASIF ALI WANI
Email ID: w_aliasif@live.com
Contact no.: +91-8147208382
Expertise:
More than 6+ years of experience in Banking and Financial services industry with a
keen insight in setting up and managing critical processes.
 A diligent, enthusiastic and committed worker with drive and zeal. Work well
under strict timelines.
 Proactive in shouldering leadership roles; excellent Negotiation and
Communication Skills and a desire for innovating and constant learning.
Last Employer:
HSBC HDPI Pvt Ltd:-
Worked as an Assistant Manager, Regulatory Substantial disclosure Team
(Compliance) from 5th
May 2014 till 4th
August 2015
Responsibilities & Overview:
 Within Global Banking and Markets (GBM), GBM Central Compliance is
responsible for providing a GBM wide compliance service in a variety of areas
including the management of conflicts of interest, compliance monitoring,
personal account dealing (PAD) approvals, research advice and clearance,
Takeover Panel and Transparency Directive disclosures, compliance training,
registration of approved persons and money laundering deterrence. In order
to provide these services, GBM Central Compliance is organized into a
number of teams, all of which work closely with each other.
Work Involved:
 Reporting large shareholding and short selling disclosures to regional
compliance offices / regulators / issuers across designated jurisdictions
(primarily Europe and Americas) as is required.
 Understand varied regulations across jurisdictions w.r.t. shareholdings, sector
/ industry restrictions, etc
 Advising on transaction and shareholding issues / restrictions to various
business areas.
 Interacting with trading desk and business compliance to understand position
details.
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2.  To support team to provide regional support for any global initiatives and
agendas.
 Prepare and submit Research Disclosure reports.
 Provide large trade approvals to trading desks.
 Undertake monitoring and surveillance of PAD activity and investigating /
updating / closing breaches.
Leadership
 Assisting Line Management in Multiple Activities which involves adhoc reports,
mail monitoring, responding to the business emails.
 Cross train colleagues on different monitoring’s and reports, Secondary
control checks of the monitoring done by the respective team members.
Worked as an Associate, Entity Maintenance (Global Banking and Markets)
from 21st
Jan 2013 till 4th
May 2014
Responsibilities:
 Worked as an Approver (Auditing processed entities) in Entity Maintenance
from Jun 2013 onwards.
Work involved:
 Auditing Entities from requestors spanning CLG/CDG; KYC; TMD; APAC;
UK and US regions in conformity with compliance requirements.
 Corroborating Sourced documents to authenticate Existence of Entities
from Registries, Business Information Sites, Independent and Third Party
Websites.
 Communicating with Requestors from CLG/CDG; KYC; TMD spanning
APAC, UK and US regions to clarify in case of discrepancies.
 Interpreting ISD linkages/CBID additions/deletions and their impact for
effective synergy between ISD and Entity Maintenance system.
 Liaising with Credits/Funds Team for Fund related Entities. Adhering to
FIM and Audit Requirements.
Additional Responsibilities:
 Cross-trained on FATCA, EMIR Remediation projects and performed the
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3. role of both Researcher and Approver.
 Mentored new Team Members under “Buddy Mentor Program, initiated by
Remediation’s Management.
 Assumed Leadership roles for a multiple projects encompassing EMIR;
Account to entity re-link; HKMA and AML.
Leadership
 Assisting Line Management in Multiple Activities
 Conducting Quality and Productivity forums for continuous improvement
and bridge skill gaps and enhance understanding.
 Performed Secondary Control audits on EMIR, AML and HKMA projects.
Experience:
.
 Worked as Sr. CCSSR from 10th
June 2010 to 20th
Jan 2013.
Responsibilities
• Assisting Canadian customers with day-to-day banking activities and serving
as a financial advisor
• Coaching and guiding under performers/New joiners in the Team on Sales
and Quality.
• Deputize the team in the absence of the line manager.
Achievements:
• Was ranked as an employee of the year for 2011.
• Awarded the Top Quality Star each quarter for 2 consecutive years
• Lean Certified in 2012.
• Also ranked as the TOP performer in the Queue for HBCA for 2 years
• Global Trainer Certified by HSBC.
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4. Previous Employer
Aditya Birla Minacs, Bangalore
• Worked as Customer Service Executive from November 2008 to Feb
2010
Responsibilities:
• US inbound Customer service, Credit cards, High end voice process
• Responsible for assiting the customer with day to day banking needs and to
give updates about the procedural changes to the team members in timely
manner.
Achievements:
• Was awarded as the best performer in the overall performance for the month
of Sep.
• Was awarded as best in quality a number of times in weekly highs
Qualifications:
 Bachelors in Business Management (BBM) from Bangalore University
(Specialization: Finance)
 10+2 from the JKBOSE (Jammu and Kashmir State Board of School
Education)
Personal Details:
Date of birth: 11th May 1988
Home Town: Jammu & Kashmir ( Srinagar )
Hobbies: Playing Cricket. Watching Movies
I hereby declare that all the information furnished above is
true to the best of my knowledge.
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