CHAITHRA
Bengaluru
Summary
Detail-oriented and results-driven financial compliance professional with experience in investment compliance, risk mitigation, and regulatory adherence. Adept at post-trade monitoring, rule coding, and policy implementation to ensure compliance with global financial regulations. Strong analytical, problem-solving, and stakeholder coordination skills with a commitment to process improvement and operational excellence.
Overview
4
4
years of professional experience
Work History
Associate - Risk & Compliance (Investment Compliance)
Acuity Knowledge Partners
Bengaluru
03.2024 - Current
- Coordinated with portfolio managers to establish a comprehensive breach flagging system, significantly enhancing compliance efficiency.
- Reviewed and revised account coding within Bloomberg Terminal for onboarding new funds, ensuring 90% coding accuracy and compliance with UCITS, 1940 ACT regulations, SEC, and FINRA.
- Standardized rule coding across five regions and led annual amendments to Investment Restriction Agreements (IRTs), streamlining compliance processes.
- Reviewed over 300 Partial Fill Allocation reports, identified discrepancies, and ensured compliance with regulatory standards, enhancing report accuracy.
Analyst - Risk & Compliance (Investment Compliance)
Acuity Knowledge Partners
Bengaluru
06.2022 - 03.2024
- Spearheaded the classification and resolution of over 100 post-trade violation alerts per day, achieving over 98% accuracy rate.
- Managed pipeline of compliance reviews and client requests, ensuring timely completion and adherence to regulatory and internal deadlines.
- Conducted comprehensive reviews of regulatory breaches and updated trackers daily and monthly based on requirements.
- Facilitated weekly team huddles to address BAU activities and streamline issue resolution processes, collaborating with internal stakeholders on over 20 ad-hoc requests monthly.
Education
MBA - Finance
Bangalore Universty
05-2022
B.Com - Computer Applications
Mangalore University
03-2020
Skills
- Investment Compliance
- Risk Mitigation
- Regulatory & Policy Adherence
- Bloomberg
- Rule Coding
- Compliance Reviews
- Stakeholder Coordination
- Client Coordination
- Process Improvement
- SOP Development
- Quality Assurance
- Advanced Microsoft Office Suite
- Excel
Languages
- English
- Hindi
- Kannada
Timeline
Associate - Risk & Compliance (Investment Compliance)
Acuity Knowledge Partners
03.2024 - Current
Analyst - Risk & Compliance (Investment Compliance)
Acuity Knowledge Partners
06.2022 - 03.2024
MBA - Finance
Bangalore Universty
B.Com - Computer Applications
Mangalore University