Chandra Sekhar SVNK
Hyderabad
Summary
Accomplished compliance professional with a proven track record at D. E. Shaw India Private Limited, adept in policy development and strategic planning. Excelled in stakeholder management and mentoring, achieving operational efficiencies and implementing key regulatory technologies. Demonstrates strong project planning and communication skills, enhancing team performance and compliance standards.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Manager (Individual Contributor)
D. E. Shaw India Private Limited
Hyderabad
01.2021 - Current
- Working closely with the Software Development team to analyze the requirements from a compliance perspective and manage the end-to-end development process, from the preparation of the low-level requirement document to the User Acceptance Testing (UAT) phase.
- Successfully handled the development of tools and applications that assist the firm with various regulatory filing obligations, including CPO PQR, personal trading, and email surveillance. Supervised the monitoring and implementation of controls to ensure compliance with global regulations, such as those related to insider trading prevention, anti-money laundering (AML), and global trading restrictions.
- Successfully implemented the firm's proprietary internal tool for regulatory reporting and Code of Ethics acknowledgment, following thorough UAT, and received appreciation from senior stakeholders.
- Created monthly reports for senior management summarizing operational performance metrics.
- Manage large and complex data sets for analysis and draw conclusions for stakeholder review.
- Collaborating closely with the global Core and Advisory Compliance Control team to assist in the daily management of the firm's regulatory reporting, personal trading, and control room programs. This includes implementing and enforcing policies and procedures, such as the firm’s Code of Ethics, through the development and enhancement of internal products.
- Worked with senior stakeholders on regulatory filings, such as CPO-PQR, and documented the process.
- Implemented process improvements, resulting in an increase in operational efficiency.
- Trained new team members on the process.
- Key Achievements:
- Provided key requirements for the real-time metrics dashboard, and successfully implemented it for the team in record time, ensuring efficiency and accuracy. My efforts were highly praised by senior stakeholders.
Manager
D. E. Shaw India Private Limited
Hyderabad
01.2017 - 12.2020
- Manage the AML compliance program; conduct reviews of investors and counterparties; review and analyze FinCEN requests, and file OFAC disclosures.
- Manage 1,200 employees' compliance with all aspects of the firm's Code of Ethics policies, maintain relationships with brokerage firms, and manage the development of all personal trading technology.
- Implemented an internal Code of Ethics by monitoring employee personal trading, gifts and entertainment, and political contributions.
- Conducted surveillance of personal and proprietary trading activities to ensure compliance with the firm’s restricted list, watch list, and insider trading policies.
- Review and update the procedures for the processes and functions handled by the team.
- Worked with the proprietary compliance technology development team to prioritize development initiatives.
- Manage the firm’s consultant and expert network policy; review all consulting arrangements for conflicts, and/or presumed material non-public information.
- Review the firm’s exception reports, and monitor for trading violations.
- Analyze the gaps in the process, and engage with the team to bring forward change and alignment.
- Liaise with the team on filings to the Treasury International Capital (TIC) System.
- Liaise with the senior management and employees, where necessary.
- Coordinated with the proprietary compliance technology development team on the enhancements.
- Worked on the firm’s systemic risk reporting to the CFTC (Form CPO-PQR).
- Assist in the filing of Form PF for the firm’s two investment advisors.
- Managed a team of six compliance associates.
- Recruited and trained new employees to meet job requirements.
- Streamlined communication channels, improving information flow, and decision-making speed.
- Assessed team members' skill sets and assigned tasks accordingly for optimal efficiency.
- Evaluated individual and team business performance, and identified opportunities for improvement.
- Coached, mentored, and trained team members in order to improve their job performance.
- Assigned work and monitored performance of project personnel.
Senior Analyst
D. E. Shaw India Private Limited
Hyderabad
01.2014 - 01.2017
- Manage AML Compliance program; conduct reviews of investors, counterparties
- Worked with E&Y to perform audit relating to the firm’s AML controls
- Reviewing and analyzing reports received from FinCen (The Financial Crimes Enforcement Network)
- Reviewing and analyzing the Code of Ethics policies of employees and handling the queries
- Reviewing of industry consultants/experts to ensure that there are no conflicts or risk of material non-public information
- Reviewing e-mails flagged by email surveillance tool (Symantec Discovery Accelerator)
- Closely involved in intralinks check to monitor the information reviewed by the Research Analysts and look for possibility of any MNPI (material non-public information) leaks
- Training the new joiners in the team on various policies and procedures
- Regulatory Filings regarding the 'Panel of Takeovers and Mergers' (UK)
- Working with IT team to prioritize development initiatives
- Working on the firm’s systemic risk reporting to the CFTC (Form CPO-PQR)
Analyst
D. E. Shaw India Private Limited
Hyderabad
06.2011 - 01.2014
- Monitored and analyzed personal trading of employees and handled queries related to personal trading, and prepared suspicious transaction reports
- Conducted induction sessions for new joiners on firm’s policies regarding personal trading, Code of Ethics, and anti-money laundering policies
- Working on the Compliance Control Operations and AML check reports
- Studied firm wide exception reports to track any trades in firm-wide restricted securities
- Maintained records of employee’s board memberships
- Reconciled Proxy voting ballots for the positions held by the firm and drive this process end to end
- Maintained firm’s restricted, watch, and gray lists, ensuring data sanity
- Initiated knowledge sharing sessions across team; worked towards procedural documentation
- Partnered with IT & management on the progress of UAT, enhancement recommendations, and implementation
Senior Analyst
Standard Chartered Scope International
Chennai
04.2010 - 10.2010
- Support the TM Units and the CMLPO to meet their obligations in terms of local laws, regulations and group policies and standards for the prevention of money laundering
- Ensuring accurate investigations of cases and alerts are done within the specified turn around time
- Performing second level review of cases with nil errors
- Efficiently handling the KYC desk for Germany TMU Unit successfully
- Ensuring quick resolution of queries with respect to issues in the KYC desk
- Performing QA analysis for Alerts & Cases
- Providing effective training to all employees in handling investigations
- Ensuring MIS is provided in a timely manner
- Ensuring process and product deficiencies are highlighted and escalated immediately to the senior management
- Supporting the management in developing controls and procedures relating to Transaction Monitoring
- The transactions are monitored with a risk-based approach and the review is acceptable to Internal/External Auditors and Regulators
- Actively speaking up during the Team Meetings and giving Suggestions on respective subjects
- To check and confirm if the Detection Scenario rules are breached and alerts are generated correctly
- Initiate investigations on specific transactions to determine whether they are suspicious and take decisions for its logical conclusion
- Maintain records of investigations conducted
- Escalate alerts / cases in a timely manner so that SAR filing at the other end is not delayed i.e., met regulatory requirements
- Liaising with in country for Suspicious Activity Report filings on entities
- Close the alerts if the preliminary investigation reveals that the Alert is a false positive
- Strictly following the process as per Department Operating Instructions
- Meeting the Turn Around Time (TAT) as per Service Level Agreement requirements
Analyst
Standard Chartered Scope International
Chennai
03.2008 - 03.2010
- Investigation of alerts and transactions with respect to SCB, GERMANY and SCB, NY
- Identifying and reviewing suspicious activities by ensuring all Group Standards of conduct are followed, so as to protect and enhance the reputation of Standard Chartered Bank with the regulators and avoiding significant loss
- Investigation of cases with respect to SCB, GERMANY and SCB, NY
- Identifying and reviewing suspicious activities and if found escalate to the in country team for further investigation
- Handling KYC/KYCC desk successfully and cleared the backlog in a short span of time
Education
MBA - Finance and Marketing
ICFAI University
01.2008
B.E - Electronics and Communication
PSR Engineering College
01.2005
Skills
- Policy and procedure development
- Project planning
- Strategic planning
- Stakeholder management
- Employee onboarding
- Verbal and written communication
Personal Information
- Date of Birth: 02/07/84
- Marital Status: Married
Awardsrewards
- Team Awards for completing the Productivity and significant achievement with nil errors.
- Supported different country TMU like US, Miami and been recognized for quality work and timely support.
Trainingsattended
- Presentation Skills
- Effective Goal Setting
- Operations Risk training
- Personnel Effectiveness Program
- Time Management
- Great managers programme
- First aider and fire warden training
Certification
- Anti-Money Laundering (AML) and Know Your Customer (KYC) Certification, Indian Institute of Banking and Finance
Languages
English
First Language
Hindi
Proficient (C2)
C2
Telugu
Proficient (C2)
C2
Affiliations
- Monitored risk and security issues within the team, including system ID sharing violations and audit concerns
- Participated in team activities and organized various engaging events and recreational trips
- Handled in-country calls effectively, addressing the queries
Accomplishments
Team Awards: Recognized for achieving significant productivity milestones with zero errors
References
References available upon request.
Timeline
Manager (Individual Contributor)
D. E. Shaw India Private Limited
01.2021 - Current
Manager
D. E. Shaw India Private Limited
01.2017 - 12.2020
Senior Analyst
D. E. Shaw India Private Limited
01.2014 - 01.2017
Analyst
D. E. Shaw India Private Limited
06.2011 - 01.2014
Senior Analyst
Standard Chartered Scope International
04.2010 - 10.2010
Analyst
Standard Chartered Scope International
03.2008 - 03.2010
MBA - Finance and Marketing
ICFAI University
B.E - Electronics and Communication
PSR Engineering College
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