CRIMS
Anand Kumar
Gurgaon
Summary
An ardent investment compliance professional with a strong track record of leading and managing teams in highly competitive and complex environment. Proficient into performing Guidelines coding, Post-trade, Pre-trade monitoring, System migration and Transition projects.
Overview
15
15
years of professional experience
Work History
Assistant Director (Investment Compliance)
Acuity Knowledge Partners
05.2021 - Current
- Investment compliance (UCITS, 1940 Act)
- Guidelines coding, pre trade and post trade monitoring, reporting, transition management, application migration, New account set up, IMA addendum, Front office query management, Restricted list update, Trustee reporting, Monthly manual checks etc
- Participated in pre sales activities like lead generation through SEO activities, inbounds interest generation via blogs/white paper, newsletter etc
- Efficient in team handling
- Taking care of end-to-end operation management
- Proficient in financial/capital market instruments, fixed income securities and articulate trends and the underlying reasons for any deviation/risk from predetermined rules like UCITS/1940 act and self enforced prospectus rules/investment compliance guidelines CFTC, Segregation
- Identified and assisted in implementation of automation, robotics and subscription services opportunities
- Participating and implementing quality tools like RCA, Pareto analysis, FMEA etc.
Assistant Manager (Portfolio/Investment compliance)
State Street Pvt Ltd
04.2019 - 05.2021
- Monitored investment guideline of client portfolio and ensured violations (active & passive) are addressed in a timely manner by informing front office.
- Liaised with Portfolio Managers to ensure they understand client guideline violations and act on correcting the trades, explaining portfolio breaches with requisite details over the email/phone/teams etc.
- Performed manual checks for guidelines that can not be coded into compliance engine due to system limitations.
- Participated in system migration from MIG to CRIMS.
Team Leader (Investment Compliance)
Infosys BPM Ltd
06.2014 - 03.2019
- Participated in process transition pertaining to portfolio compliance from Luxembourg to India.
- Performed portfolio Compliance check for critical EMEA clients.
- Reported exposure to various types of accounts like Equities, Fixed Income and derivatives and Support Holding and transaction level checks.
- Performed manual checks.
Customer service executive
lenergizer Ltd
04.2011 - 03.2013
Research analyst - Equity research division
Perfect Capital Services Ltd
04.2010 - 03.2011
Education
PGDM - Finance
School of Management Sciences - Varanasi
01.2010
B.B.A - Commerce
JCCC Jabalpur, RDVV University - Jabalpur
03.2007
XII - PCB
CBSE
01.2004
Skills
- Multi tasking
- Investment Compliance
- Guideline Coding
- Post trade monitoring
- IMA review
- Rule coding
- Rule testing/ UAT testing
- Client Servicing
- Pre trade compliance
- Quality management
- Pre sales support/lead generation
- Resources planning/Recruitment
- Managing team
- Project Management
- Workforce Planning
- Employee Development
- Process Improvement
- Performance Evaluation
- Strategic Planning
- Transition/Migration management
- Operation management
Additional Information
- EMEA client transition
- Participated in-house NLP Fin-tech tool
- Rule rationalization
- Luxembourg to India transition
- Setting team in Costa Rica on near shoring concept
- Mig21 to CRIMS migration
- Thinkfolio to Aladdin migration
Software
Aladdin
Mig21
Bloomberg
MS office
Accomplishments
- Have successfully led several transitions including travelling to client location in Luxembourg and Costa Rica.
- Participated in proprietary NLP Fin-tech tool leading to reduced manual touch points resulting in reduced TAT and greater quality output.
- Received several awards and client appreciations for delivering and cultivating a high-performance team culture
References
References available on requirement.
Languages
English
Hindi
Spanish
Personal Information
- Date of Birth: 01/26/87
- Marital Status: Married
Timeline
Assistant Director (Investment Compliance)
Acuity Knowledge Partners
05.2021 - Current
Assistant Manager (Portfolio/Investment compliance)
State Street Pvt Ltd
04.2019 - 05.2021
Team Leader (Investment Compliance)
Infosys BPM Ltd
06.2014 - 03.2019
Customer service executive
lenergizer Ltd
04.2011 - 03.2013
Research analyst - Equity research division
Perfect Capital Services Ltd
04.2010 - 03.2011
B.B.A - Commerce
JCCC Jabalpur, RDVV University - Jabalpur
XII - PCB
CBSE
PGDM - Finance
School of Management Sciences - Varanasi
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