Kanchan A Raju

Marketing Compliance Assistant Manager: Review of materials related to financial promotions for EMEA and Global regions, such as standard presentations, bespoke presentations, fact sheets, email invites, social media posts and other financial promotion/marketing related communication for EMEA region, as per agreed procedures. Perform periodic monitoring reviews for marketing materials approved through risk-based review approach. Perform monitoring reviews for RFPs for the EMEA region. Preparation of periodic management reports and analysis for Marketing Compliance teams. Prepare and maintain documentation of procedures, process-flows and roles and responsibilities, for the activities being managed from Hyderabad. Execute special projects and ad hoc tasks as required. Partner effectively with local and global Compliance team members and other business functions as required. Participate in periodic calls and meetings with the Marketing Compliance teams in EMEA and other regions. Escalate issues effectively to appropriate levels of management. Provide effective and efficient workflow submissions to business groups/ subgroups in Red Oak. Review and update of disclaimer tool on timely basis to ensure financial promotions are in line with the regulatory and firm level changes.

Marketing Compliance Officer: Provide compliance advisory services to marketing and distribution process within State Street Global Advisors. Assist regional SSGA office in North America by performing Compliance review to ensure adherence to investment industry regulations, as well as internal firm guidelines of various Sales and Marketing literatures like marketing pitch books, factsheets, website content, firm’s social media post related to SSGA products - ETFs, Mutual Funds, and Strategies or services. Ensure to update any identified regulatory changes to policies and procedures are up to date. Provide appropriate hedging language for statements in the marketing literatures which are promissory, misleading or being cherry picked. Maintaining and updating internal Global Disclosure Document (GDD). Assisting in the drafting of policies and procedures related to SSGA’s marketing and advertising efforts. Responsible to file approved Retail communications in FINRA portal. Created an SOP FINRA review procedures on how to review US marketing materials and Business review frame work for low risk materials.

Due Diligence Questionnaires Specialist: Entailed role was to design and completion of new/recurring business questionnaires for the Global Asset Management Firm’s international sales teams. Request for proposal (RFP) and Due Diligence Questionnaires (DDQs) for Investment management services for institutional, retail, HNI investors for client Mutual funds. Liaise with Sales, Portfolio Management, Product Specialists, Legal, Compliance, Risk and other departments as needed. Assist with quantitative and qualitative data requests from internal and external business partners. Coordinate data fact checking and proofing of all responses. Maintain existing RFP content database – Proposal Software. Document, track and report processes and tasks. Ability to handle client pressure and timely deliveries of projects.

Fund Services- Exchanged Traded Derivatives: As a part of ETD team mainly deal with derivatives products like futures and options that are traded through exchange for our client JP Morgan and Chase. Book exchange trade derivatives futures and options on the basis of broker statement/any other trade blotter. Also book futures related expensed like commission/interest and cash movement reflected on the broker statement, bookings are made through ETD tool. Reviewing the recon after post bookings between trades statement and Wins (Accounting system) for audit purpose. Match positions of the securities and cash balances. Investigate all trade cash and stock recon breaks and provide accurate and qualitative comments. Complete timely sign off from our trades team prior completing NAV.

Global Performance Measurement and Risk: As Senior Performance and data analyst responsibilities included uploading, validating, and reconciling various Performance information and Analytics data within the Fixed Income Global Performance Measurement and Risk applications. And also, be responsible for producing various Performance, Risk, and Characteristics reports on a recurring and ad hoc basis.

Personal Trust Services (PFS): As Financial Analyst responsibilities include handling opening of new accounts for PFS world (Coding, Tax submission and request for documents as per KYC standards). Rigorously reviewing the KYC document deficiency report and clearing the exceptions. Understanding of legal documents (Wills and Trust documents). Perform quality check on KYC requirements and ensure the client it using real name and no involved any illegal activities. Knowledge on Agency accounts (low risk), trust accounts (medium risk) and wealth management (high risk).