Diana Braz

Berufserfahrung von Diana Braz

• Bis heute 1 Jahr und 1 Monat, seit Juni 2023

  Internal Control Officer

  Crédit Agricole Leasing & Factoring Deutschland

  •Designing and executing the internal control plan/framework based on risk mapping, regulations and leading the annual control plan review •Implementing audit recommendations for all the processes with proactive actions •Responsible for all second Line of Defence (LoD) requests by working closely with France, Belgium and Netherland branches •Identifying, assessing, reviewing and reporting operational risks, events, losses •Participating in the yearly self-assessment of Internal Control System (ICS)

• 6 Monate, Okt. 2022 - März 2023

  Associate - Regulatory Reporting

  Nomura Financial Products Europe GmbH

  • Preparation & submission of regulatory reports in accordance with regulations • Collaborating with Mumbai & London teams to ensure compliance with BaFin & MiFID regulations & control of the outsourced processes • Gathering, reviewing, and analyzing financial and trade data, including KPIs, financial reports and other key matrix • Providing financial analysis to senior management and other stakeholders • Participating in various projects related to regulatory reporting

• 3 Jahre und 7 Monate, März 2016 - Sep. 2019

  Proprietor / Self-Employed

  Beautiful - The Cosmetics Store

  •Developed a business plan for the store, including identifying the target market •Managed the day-to-day operations of the store, including inventory management, staffing, cashflow , customer service & database management using QuickBooks ERP system •Monitored and tracked key performance indicators (KPIs) and financial matrix, such as revenue, expenses, and profit margin, to identify areas for improvement and growth

• 6 Monate, Nov. 2013 - Apr. 2014

  SENIOR FINANCIAL ANALYST

  Barclays Shared Services

  • Involved in the project of migrating equity derivatives operations from Singapore to Mumbai • Developed and implemented a communication plan to keep all stakeholders informed and engaged throughout the project • Maintained policies and procedures related to offshore brokerage operations • Responsible for post trade services - breaks management, journal/ledger postings, MIS and month-end balancing of accruals and expenses • Monitored and reported on team performance to senior management

• 3 Jahre, Nov. 2010 - Okt. 2013

  SENIOR FINANCIAL ANALYST

  Nomura

  •Independently managed the migration project of CSA(Commission Sharing Agreements) from NY to Mumbai from initiation to closure, including developing project plans, timelines, and budgets •Identified and managed project risks and issues, and developed contingency plans as needed by working closely with offshore management •Performed vendor onboarding and collection of tax forms such as Form W-9 or Form W-8BEN •Created a SharePoint site to define the workflow of client onboarding process

• 2 Jahre und 4 Monate, Juli 2008 - Okt. 2010

  Financial Analyst

  JP Morgan Bank

  •Reconciled trades for equities, fixed income, money market and derivatives •Conducted due diligence checks on new and existing customers, including (KYC) and (AML) procedures, to mitigate risks related to fraud and financial crime •Processed and verified international payments using the SWIFT network •Managed and processed all accounts payable transactions through the PeopleSoft ERP system, including invoice processing, payment processing, and vendor management