1. CURRICULUM VITAE
Srihari Goud
H-No: 13-3-1087/154,
Jiyaguda,
Bharatnagar Email Id: - srihari9397@gmail.com
Hyderabad 500006. Contact No: - 9705716696, 8886422240
OBJECTIVE
To associate myself with an esteemed organization this provides ample scope of learning,
growth and competitive environment to utilize my skills efficiently.
EXPERIENCE
• Company : TCS and Cognizant Technology services
• Profile : Banking & Investment Banking
•
• Process : AML , Legal and Compliance PAD,IB Finance
• Designation : Senior Associate
ROLES AND RESPONSIBILITIES
AML
• Responsible for identifying and researching the patterns, trends and customer data to
detect, prevent, mitigate and report suspicious activity related to money laundering,
terrorist financing and structuring for TCS clients.
• Researched, wrote, and reviewed Suspicious Activity Reports on a daily basis while
ensuring compliance with regulations conducted reviews of client documentation and
information obtained by client contacts within the business units.
• Detection of fraudulent staff and illicit money laundering activities
Job Description in Legal and Compliance:
Handled UK and US Personal Account Dealing and cross trained on US Bluesheets, Global
Education Training, HK and Singapore Personal Account Dealing and Working on it and also
worked on US & UK Licensing and Registration.

2. • Personal Account Dealing: It deals with brokerage accounts or personal trading
activities of UBS staff globally. As per the bank/compliance policy all these
brokerage accounts require prior approval from the compliance and have to be pre
cleared before they are executed.
• Licensing and Registration (US and UK): Processing Licensing and Registration
requirements for new joiners which includes investigating of License requirements to
perform their roles, Background check and Finger printing process.
• Global Education Training: Updating the Training details of the employees to
comply with the policy.
• Blue sheets: We process Blue sheets to monitor the trading activities, insider
trading and market manipulation.
• Trainings specifically designed by local country regulators to be attended by the staffs
dealing with few Sensitive Processes.
Process associated tasks:
• Providing Risk and Compliance support to UBS Investment Banking Departments in US
& APAC regions
• Dealing with products like PA Dealing, Licensing and Registrations, Employee
Compliance, PAD Policies
• Check employee personal trading requests in accordance with the Firm's personal
trading policies
• Monitoring of personal trading requests with the help of in-house monitoring tools in
order to identify, investigate and report non compliant trades / undisclosed brokerage
accounts to the location compliance and management
• Reconciliation / Trade Processing which includes sorting, entering, trade capture,
confirmation and settlements
• Performing quality checks for all the processed trade settlements
• Tracking and monitoring teams productivity, utilization etc
• Ensure all the transactions are processed within the agreed timelines
• Ensure all the deliverables of the process are met and maintained as per the SLA’s
• Maintenance of various in house IT applications such as, SharePoint, Documentum,
GTPS (group trade pre-clearance system) etc
Process: UBS IB Finance - Global Intercompany Reconciliations
Job Description in Balance sheet Revenues controls Global Intercompany
Job Profile : I am part of Balance Sheet and Revenue Controls (Global
Intercompany team) which deals With Reconciliation of Intercompany bank transactions
across multiple countries like US, UK, Asia Pacific regions. The process involves running IC
database and resolving the mismatches between legal entities which are above threshold by
posting Journal entries.

3. • Reconciling and Resolving the Intercompany and Profit and Loss, balance sheet
breaks.
• Handling a team of five and ensures my team to work on break identification &
clearance of breaks which happens as a result of entities booking trades incorrectly
& system feed issues.
• Breaks related to Balance sheet, Profit & loss accounts are cleared which are
required for management reporting (like IFRS, Swiss GAAP Reporting)
• Identification of static and trade data issues ensuring that they are effectively
communicated through the appropriate lines of reporting. Also ensure accuracy of
reporting.
• Post journals according to the GAAP requirements to clear the B/S and PnL breaks
• Investigation of breaks in the trade data and posting ledger entries using Data Base
for the fail trades which cause RWA and Basel II issues
• Support change management initiatives by participating in the CTB activities where
Strategic fix is required on trade related issues.
• Close liaison with US, UK and EMEA Balance sheet reporting teams to ensure
completeness and accuracy of inter-company submissions
• Resolving feed issues for proper flow of data in the risk management systems.
• Provide support to the UK Financial Control team on all aspects of the inter-
company mismatch reconciliation process
• Advising the BUC member on their postings where it may create issues like
duplicate trades, Open trades.
• Regulatory Reporting and RWA reporting to Zurich counterparts
Working as part of a team within a fast-paced environment in the financial Services industry
dealing with clients, analysts and schedules. Responsible for developing financial forecasts
and generating internal management reports.
Duties:
• Working as part of a team within a fast-paced environment in the financial
Services industry dealing with clients, analysts and schedules. Responsible for
Developing financial forecasts and generating internal management reports.
Duties:
• Investigate on issues like Open and Fail trades, duplicates, MTM differences and trade
Re-class by extracting data through SAP BWL and BO reports for relevant ledger
postings
• Investigation of breaks in the trade data and posting ledger entries for the fail trades
• Proper flow of data in the risk Resolving feed issues for management systems.
• Trades, gross-ups and +/- balances. Advising the BUC member on their postings where
it may create issues like duplicate
• Responsible to clear the different P&L, Balance Sheet and Off Balance Sheet Breaks
within the Intercompany scope as per IFRS.

4. • Invoice Processing & Monitoring Payment Process ,Period Close & Data monitoring,
payable and receivable.
ACADEMIC QUALIFICATIONS
COURSE COLLEGE YEAR OF PASSING
MBA (Finance) Einstein College of
Business Management
2011
B.com(General) Jagruthi Degree College 2008
Intermediate Vivek Vardhini Junior
College
2005
SSC Vidya Sree High School 2003
STRENGTHS:
• Can handle Multiple Requirements for the benefit of the organization in the longer
perspective.
• A competent and committed Banking & Finance graduate who has hands on
Knowledge and experience in banking processes.
• Always working within the clients “service level agreement”
• Easy going by nature, and able to get along with work colleagues and managers,
ACHIEVEMENTS:
• Got promoted to Level 2 within 1 year from DOJ in CTS
• Provided ideas on process improvement to reduce AHT
• Got the Best Performer awards
HOBBIES:
• Playing and watching Cricket, Hanging out with my family and friends.
• Watching other sports like football and Hockey.

5. Summer Internship for two months as part of an MBA program 2010-2011 in Budget &
Budgetary control at phoenix motors pvt ltd.
Computer proficiency:
• SAP Applications
• MS-Office (MS-Excel, MS-Word, MS-Outlook
Name : SRIHARI GOUD
Father’s Name : NARSIMHA GOUD
Date of Birth : June 7th
, 1988
Phone : 9705716696
Nationality : Indian
Status : Single
E-mail : srihari9397@gmail.com
Languages Known : English, Telugu and Hindi
Joining Notice : 3 months
I hereby declare that the information furnished above is true and correct to the best of my
knowledge.
Regards
Place: Hyderabad (SRIHARI)
Project :
PERSONAL INFORMATION:
DECLARATION

6. Summer Internship for two months as part of an MBA program 2010-2011 in Budget &
Budgetary control at phoenix motors pvt ltd.
Computer proficiency:
• SAP Applications
• MS-Office (MS-Excel, MS-Word, MS-Outlook
Name : SRIHARI GOUD
Father’s Name : NARSIMHA GOUD
Date of Birth : June 7th
, 1988
Phone : 9705716696
Nationality : Indian
Status : Single
E-mail : srihari9397@gmail.com
Languages Known : English, Telugu and Hindi
Joining Notice : 3 months
I hereby declare that the information furnished above is true and correct to the best of my
knowledge.
Regards
Place: Hyderabad (SRIHARI)
Project :
PERSONAL INFORMATION:
DECLARATION