Lokesh Kompala
State Street Corporation
12
Years of experience
Associate manager specializing in regulatory compliance and risk management. Automated repeatable workflows with VBA and UiPath to improve throughput and reduce processing effort. Managed investigations to determine drivers of control failures and coordinate stakeholders to satisfy regulatory requirements.
Work History
Associate Manager
1 Year 2 Months- Supported regulatory reporting transaction reconciliation and regulatory change activities across control and reporting processes.
- Managed issuer position and trade movement disclosures to regional regulators for equity and derivative trading activity within deadline through regulatory portals, including FCA, AFM, Taiwan, Korea, Baffin, and ASIC.
- Maintained governance for regulatory reporting operations by aligning work to internal control standards and regulatory obligations.
- Produced MI reports for senior stakeholders on filing volume, SLA performance, risk trends, and exception themes to support informed action.
- Performed detailed root cause analysis on reporting exceptions and introduced preventive controls to reduce repeat issues.
- Coordinated with compliance, technology, and operations teams during regulatory change events and production releases.
- Directed user acceptance testing for regulatory reporting enhancements and validated readiness for production deployment.
- Drove process standardization and automation efforts to improve reporting quality and operational efficiency.
- Enhanced position movement trackers and reconciliation controls to strengthen filing accuracy.
- Applied validation checks against regulatory thresholds and independent shareholding confirmation requirements.
- Supported internal audits and regulator review responses with complete documentation and evidence.
- Executed quality assurance reviews to minimize filing defects and operational risk exposure.
- Reviewed broker statements daily and reconciled results with internal records.
- Escalated trade breaches to legal teams and onshore advisory teams.
- Reviewed compliance trade requests for restricted stocks and provided approvals.
- Collaborated with internal LOB teams to resolve trade breaks and settlement differences.
- Prepared and submitted trade and transactional reports through trade repositories in line with reporting requirements.
Associate Manager
4 Years 6 Months- Managed substantial shareholder disclosures across regulatory frameworks including UK Takeover Code, Ireland, Germany (BaFin), France (AMF), Australia, India, China, Taiwan, and Korea.
- Monitored and aggregated global equity positions across EMEA and APAC, maintaining compliance with large shareholder reporting, takeover panel reporting, and short selling rules.
- Partnered with regulatory compliance teams to monitor obligations across multiple jurisdictions.
- Applied internal governance standards, operational risk policies, and compliance procedures to regulatory reporting activities.
- Collaborated with legal, compliance, and technology teams to implement regulatory change requirements.
- Implemented risk management strategies that supported compliance and operational resilience.
- Delivered impact assessments for regulatory changes and identified operational risks affecting reporting obligations.
- Escalated regulatory breaches, reporting exceptions, and process control weaknesses through governance channels.
- Strengthened control environment through independent validation of regulatory disclosures.
- Executed transaction and position reconciliations to confirm filing accuracy and reporting integrity.
- Maintained compliance monitoring and reporting program covering equity ownership and regulatory adherence.
- Guided business units on regulatory implications of transactions and new business activities, enabling proactive compliance responses.
- Analyzed firm-wide shareholdings prior to final regulatory disclosures.
- Led rule-based data collation, analytics, and reporting activities supporting regulatory inquiries and audits.
- Responded to audit and regulatory requests with detailed compliance reports and documentation.
- Created and delivered training materials on shareholder disclosure requirements and coordinated stakeholder training sessions.
- Prepared MIS reports for senior leadership, surfacing compliance trends and regulatory obligations for informed decisions.
Senior Portfolio Administrator
3 Years 11 Months- Strengthened daily cash and position reconciliation controls across workstreams through disciplined review and accurate processing.
- Aligned corporate actions records with compliance standards through processing support and issue follow-up.
- Preserved downstream processing accuracy through close coordination on trade settlement activity.
- Kept derivative instrument activity within reconciliation controls through consistent workflow oversight.
- Delivered full-cycle cash and position reconciliation with strong control and accuracy.
- Directed daily associate workload to meet quality standards, deadlines, and team expectations.
- Closed trade, corporate action, and income breaks by matching IM and custodian records.
- Supported regulatory report preparation and submission through cross-team coordination and compliance focus.
- Validated positions and MTM against broker statements through TriOptima tool.
- Resolved settlement breaks linked to cash and position discrepancies.
- Produced accurate adjustments by matching trade differences across custody and broker statements.
- Drove root-cause review of exceptions through internal systems and Bloomberg analysis.
- Protected data integrity by verifying execution and clearing broker feeds before reconciliation-tool upload.
- Lowered aged breaks through collaboration with onshore team and client-call support for error review and process updates.
- Improved accuracy through recurring error monitoring and refresher training delivery.
- Prioritized aged breaks and high-value trades for timely resolution.
- Improved workload visibility through MIS reporting and daily activity tracking.
- Supported biweekly and monthly holdings review through stock reconciliation activity.
Senior Analyst
2 Years 3 Months- Led accurate cash and position reconciliation activity, including support for corporate actions and paydown processing.
- Strengthened reconciliation controls with compliance focus to protect cash and position integrity.
- Drove root-cause analysis for breaks and aligned teams on resolution approach.
- Improved tracking of recurring and unique issues while maintaining error logs to keep reconciliation timelines on track.
- Managed corporate actions processing through MCH application for dividends, paydowns, and coupon events.
- Reviewed miscellaneous payments promptly to support settlement readiness and financial record accuracy.
- Directed correct break matching and item routing to accelerate resolution.
- Maintained workflow trackers to preserve accurate, high-quality completion activity.
- Produced daily and monthly MIS and consolidated reporting to meet client submission requirements.
Education
MBA - Finance
Bachelor of Commerce
Skills
Regulatory compliance and reporting
Shareholder disclosures management
Monitoring and risk management
Management of regulatory changes
Analysis of root causes
Strategies for process improvement
User testing acceptance criteria
Automation using Excel VBA
Robotic process automation with UiPath
Creation of Power BI dashboards
Intermediate proficiency in SQL queries
Reconciliation processes for positions
Effective stakeholder communication
Power BI dashboards
Intermediate SQL proficiency
PROJECTS
- Darwin Project— ETD & OTC position recon Automation, Led the end-to-end automation of the daily ETD and OTC position reconciliation process, eliminating manual intervention and improving operational efficiency., Designed and implemented an automated workflow that consistently produced accurate and audit-ready reconciliation results, aligning fully with the previous manual process., Reduced overall processing time significantly by streamlining data comparison, exception identification, and reporting, enabling faster break resolution and improved productivity for the team.
- Metrics & Major Shareholding project — Developed an automated solution using UiPath to perform Independent Shareholding Confirmation (ISC) validation directly from multiple data sources, enhancing accuracy and timeliness of regulatory reporting., Created standardized and scalable metric templates to capture data volumes, trends, and exception patterns, improving management information reporting and decision support., Built a custom Excel macro to log, track, and audit the number of activities, disclosures, and submissions processed on any given date, strengthening transparency and governance.
- Eagle Star (ReDOM)— Cash & position recon Automation, Successfully transitioned complex data sets from the legacy application to the new ReDOM platform, ensuring full data integrity and continuity of business operations., Authored comprehensive Standard Operating Procedures (SOPs) for the new application environment, improving process consistency, onboarding efficiency, and audit compliance., Automated the broker and custody position reconciliation process within ReDOM, significantly reducing manual effort while improving accuracy and timeliness of reconciliation outputs.
Accomplishments
- Automated position reconciliation with Excel and VBA macros, avoiding manual intervention.
- Effectively participated in the automation of TLM.
- Reduced regulatory reporting exceptions through the implementation of enhanced reconciliation controls.
- Improved reporting turnaround time by automating manual compliance activities.
- Successfully supported multiple regulatory migrations with zero audit observations.
- Developed executive dashboards, improving visibility of regulatory KPIs and operational risks.
- Enhanced governance reporting through automated MI and exception tracking.
- Received three Outstanding Performer Awards at Invesco for effectively maintaining the fund without any errors in the team and handling the Darwin project, REDOM projects, and state automation of TLM and Excel macros.
- Received the Triple Service Excellence Award twice from State Street for managing multiple types of funds error-free in State Street HCL services.
- Received appreciation from the client for effectively organizing my work and raising outstanding exceptions in a timely manner.
Timeline
Associate Manager
State Street Corporation
12.2024 - 02.2026Read More
Associate Manager
JPMorgan Chase & Co
05.2020 - 11.2024Read More
Senior Portfolio Administrator
Invesco India Private Limited
06.2016 - 05.2020Read More
Senior Analyst
State Street HCL Services (India) Private Limited
09.2013 - 12.2015Read More
JNTU
MBA from Finance
Read More
Sri Venkateswara University
Bachelor of Commerce
Read More