Mar 2022 – Jul 2022 · 4 mos

Jan 2020 – Mar 2022 · 2 yrs 2 mos

• ● Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded and/or to code relevant rules on order management system
• ● Regular Rule maintenance on trading application i.e. Blackrock Aladdin
• ● Conduct Account Mapping / Review viz a viz applicable rules
• ● Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules on order management system
• ● Address compliance alerts/warnings (mainly overnight batch compliance) related to trading strategies and the application of technology-related or manual controls created and applied during this process
• ● Perform review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective parties to ensure rectification.
• ● Assist in resolving queries with the project team and regional compliance teams
• ● Assist with ongoing review of relevant processes and procedures to ensure best practice.
• ● Prepare/support Monthly Metrics report from Aladdin for senior management
• ● Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.
• ● Interact with members of regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
• ● Act as subject matter expert in resolving complex situations in day to day tasks and mentor other colleagues in the team
• ● Assist in Compliance related projects and initiatives.
• ● Assist legal and compliance staff members as requested.
• ● Effectively find solutions to compliance issues as they arise.

Jul 2018 – Jan 2020 · 1 yr 6 mos · Bengaluru Area, India

• ● Providing post-trade surveillance for 1940 Act guidelines for US and Toronto clients.
• ● Analyzing the best approach to evaluate and scrutinize the course of client delivery and accommodate the additional number of clients possible.
• ● Identifying false error causing tests and guidelines to unearth the actual root cause of eliminating the false fails to deliver meticulous aftermath to the client on a daily basis.
• ● Brainstorming to execute the alternate course of action to hand over the confidential data to internal and external resources to avert the extensive data exposure than necessary.
• ● Working on transition on existing clients from the current guideline monitoring system to Charles River Development after the CRD acquisition by State Street without rattling up the daily BAU’s
• ● Liaise with clients to obtain additional information that may be necessary from time to time to code compliance matrix into the compliance system.
• ● Perform an annual review of compliance rules in the matrix by comparing them against updated prospectuses/SAIs.
• ● Research ad-hoc queries from compliance reporting team to determine if the client portfolio is in line with the investment guidelines
• ● Liaise with the coding team for maintenance of rules in the system to ensure accurate daily and monthly compliance reporting is disseminated to clients.
• ● Demonstrate in-depth knowledge of Investment compliance to translate client requirements into actionable items for internal teams and work with internal teams. (For example, changes related to how a particular derivative should be treated for Derivative Coverage testing or CFTC Testing or IRC).
• ● During the course of normal day-to-day operations, responsible for identifying any unusual or potentially suspicious transaction activity and reporting and/or escalating in accordance with corporate policy and guidelines detailed in relevant operating procedures.

Jan 2016 – May 2018 · 2 yrs 4 mos · Bengaluru, Karnataka, India

• ● Contribute to daily delivery and receives transfers from numerous Goldman Sachs' Employee and client accounts from and to diverse contra parties.
• ● Perform account maintenance and checks, daily reconcile internal and external trades on accounts for institutional clients based in New York and London, consult regularly with traders teams, compliance, control and contra parties.
• ● Completing trade monitoring before desk starts trading, identifying the errors before trades are executed to prevent active breaches and financial risk.
• ● Performing pre & post trade surveillance for all strategies including fixed income, Hedge share class, Money Market. etc., for London, US & Tokyo regions.
• ● Coding new guidelines and making amendments to client accounts and funds in sentinel for new client on boarding and to avoid false breaks in the existing funds
• ● Keeping a control on the total number of breaks and ensuring the firm's reputation and limit exposure.
• ● Working closely with the research and portfolio management teams to develop a deep understanding of the portfolio strategies and their construction. Liaising with other investment and support teams.
• ● Developing a result focused and motivated team culture and foster development of team members.
• ● Leveraging Alteryx to streamline the workflow to avoid manual error at a higher scale and to pace forward the process which saves more time to focus on a daily bau.
• ● Keeping a continuous tab and alerts to notify Portfolio manager to stay up to date on the accounts and funds to avoid erroneous caused due to assumptions and double the work time.