Mahesh Joshi
Compliance Professional
Thane
Summary
To apply my analytical ability combined with my knowledge of Compliance, accounting and work experience in Compliance and financial control to a role in the banking and financial services industry.
Overview
14
14
years of professional experience
15
15
years of post-secondary education
Work History
Compliance Review Control Manager
BNP Paribas ISPL
05.2019 - Current
- Handle the Control testing team, i.e. APAC Transversal Risk Management of 5 professionals, and monitor the below-listed activities performed by the team.
- Cross-trained existing employees to maximize team agility and performance.
- Resolved staff member conflicts, actively listening to concerns and finding appropriate middle ground.
- Accomplished multiple tasks within established timeframes.
- Perform compliance 1/2 level of control testing on different domains, i.e. AML, Sanctions, Professional Ethics, Protection of Client Interest, etc.
- Escalate issues and exceptions, track corrective action plans.
- Maintain documentation, coordinate with other professionals.
- Remain current on group policies and procedures.
- Prepare dashboards and perform coordination activities related to audit, procedure, and incident management.
Compliance officer
BNP Paribas ISPL
03.2017 - 04.2019
- Review and investigate electronic communications alerts (Emails, Chats, telephonic conversations, etc.), support team in reviewing communication surveillance scenarios.
- Conduct initial analysis and identify suspicious activity, as well as escalate cases for further review.
- Support senior staff in researching and responding to policy violations, and improve knowledge of policies and regulations.
- Supporting the team with additional ad hoc projects and tasks (Dashboards, SOPs) whenever required.
- Continuously improve the knowledge and understanding of the firm's policies and industry regulations.
Subject Matter Expert
Tata Consultancy Services
10.2015 - 03.2017
- Own activities and tasks related to Equities-Fundamentals product, manage quality feedback and escalations, analyze financial reports, collaborate with clients, deliver knowledge sharing environment, and validate process changes.
- Collaborate with client counterparts on redefining process instructions as required, standardize business rules, and analyze the overall change impact. Be the Single Point of Contact for various quality initiatives undertaken within the process.
- Active involvement in new Bloomberg project, Adjusted Financials (AF), where detailed analysis was performed for various companies' non-GAAP disclosure across all markets.
- Communicate with client counterparts on composing SOPs, Process Manuals, Cheat sheets, etc. And maintaining the same.
- Mentored junior team members, contributing to their professional growth and development.
- Enhanced team performance by providing expert guidance on critical projects and strategic initiatives.
Sr. Analyst
CMC Ltd - Subsidiary of Tata Consultancy Services
01.2013 - 09.2015
- Analyze financial data of US, UK, and Canadian companies with 100% accuracy for Bloomberg (Client), providing data in a timely manner, mentoring junior analysts, solving escalations, and participating in project initiatives.
- Quality checks of junior analysts.
- Interaction and communication with global counterparts.
- Participation and active involvement in various project initiatives within a team.
- Enhanced team productivity by streamlining workflow processes and implementing time-saving strategies.
- Mentored junior analysts, fostering professional development while enhancing overall team performance.
Analyst
CMC Ltd - Subsidiary of Tata Consultancy Services
02.2011 - 12.2012
- Understand cataloguing rules, prepare abstracts, maintain productivity, analyze financial data, convert data in standardized format, and maintain a daily productivity sheet.
- Enhanced team collaboration by providing clear communication of complex findings through visualizations and reports.
Jr. Analyst
CMC Ltd – Subsidiary of Tata Consultancy Services
05.2010 - 02.2011
- Analyzing the financial data of US, UK, and Canadian companies.
- Convert the data in standardized format, made by Bloomberg.
- Make that data available for the investors of worldwide.
- Daily productivity sheet to be maintained.
- Participated in special projects as assigned by senior leadership team members while maintaining core responsibilities as Junior Analyst.
Education
MBA - Accounting and Finance
Welingkars Institute of Management
Mumbai, India 04.2001 - 04.2016
M.COM, Second - Accounting and Finance
Mumbai University
B. com, Second - Accounting and Finance
Model College
HSC, First - undefined
Mumbai Board
SSC, Second - undefined
Mumbai Board
Skills
Bloomberg
Accomplishments
- People's Manager Award 2023
- Milestone award 2023
- Bloomberg appreciation award
- Received Internal Appreciation from the Project Manager and the Deputy Manager for the Earnings Project undertaken within the stipulated TAT
- Received a Pat on the Back Award for excellent work done in a short span.
- Received an award for Best Quality for the Month
Keyskillsstrengths
- Sound knowledge of working on various data sources for Bloomberg
- Excellent communication skills (both written and verbal skill), self-motivated and ambitious
- Fast learner, confident, ability to make decisions and work under pressure
- Willingness to try new things and interest in improving efficiency on assigned tasks
- Mailing reports to the client and providing them with all the various requirements
- Effective and Efficient team player
- Focused and Hard Working with Positive attitude
- Sound knowledge of Compliance policies and procedure of Investment Banking
Personal Information
- Date of Birth: 05/05/88
- Nationality: Indian
- Marital Status: Married
Languages
English
Hindi
Marathi
Timeline
Compliance Review Control Manager
BNP Paribas ISPL
05.2019 - Current
Compliance officer
BNP Paribas ISPL
03.2017 - 04.2019
Subject Matter Expert
Tata Consultancy Services
10.2015 - 03.2017
Sr. Analyst
CMC Ltd - Subsidiary of Tata Consultancy Services
01.2013 - 09.2015
Analyst
CMC Ltd - Subsidiary of Tata Consultancy Services
02.2011 - 12.2012
Jr. Analyst
CMC Ltd – Subsidiary of Tata Consultancy Services
05.2010 - 02.2011
MBA - Accounting and Finance
Welingkars Institute of Management
04.2001 - 04.2016
M.COM, Second - Accounting and Finance
Mumbai University
B. com, Second - Accounting and Finance
Model College
HSC, First - undefined
Mumbai Board
SSC, Second - undefined
Mumbai Board
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