MANIMARAN P
Compliance specialist
Chennai,Tamil Nadu
Summary
An experienced compliance professional with a successful career managing risk, performing due diligence, leading projects and handling time-sensitive, complex investigations. Seeking a role where I an utilize my innate ability to improve processes and make procedures more efficient while protecting the integrity of firm and the customers it serves.
Overview
11
11
years of professional experience
Work History
Compliance Specialist
Mindsprint Digital Media PTE LTD
Chennai
11.2016 - Current
- Monitoring of various alert patterns in in the surveillance system
- Assigning new threshold levels for each alert pattern periodically as per internal policy
- Position limit monitoring for all entities of Olam group that trade in commodity derivative products.
- Calculation of Daily speculative position limits for select products according to US CFTC regulations.
- Reporting weekly positions to CTFC in the notified forms.
- Assisting in implementation of MIFID, MAR and other ESMA regulation.
- Maintaining Master data for all derivative products in SAP BI application.
- Reconciliation of daily positions received from different sources and investigate if there is any differences .
- Assisting the manager in preparing Adhoc requests from top management and compliance heads.
- Sending Position limit alerts to different trading desks well before the First Notice date or position limit effective date.
- Advising traders on the new regulations and amendments in the rules.
Level 1 Associate
BNP PARIBAS
Chennai
12.2014 - 10.2016
- Recording daily OTC derivatives transaction of clients into the system in compliance with EMIR regulations
- Preparation of periodical MIS reports and statements
- Handling valuation queries from Fund accountants
- Preparing standard operating procedures (SOP) and updating whenever there are changes
- Validating the trades integrated into the system and make necessary correction if necessary
- Credit event monitoring, communicate to other teams in case of credit event in underlying business entities
- Supporting manager in identifying risks involved in day to day transactions
Legal Executive
Rathnakumar & Co Associates
Chennai
02.2014 - 08.2014
- Filing annual returns with Registrar of Companies (ROC)
- Preparation of search and status reports and filing forms for registration of charges
- Filing and preparing Share Transfer deeds
- Maintaining Statutory Registers , Drafting Resolutions, Notices
- Obtaining Director Identification Number (DIN), Digital Signature Certificates(DSC)
- Registration of service tax and filing returns
Management Trainee
Sugal & Damani Share Brokers Limited
Chennai
05.2012 - 08.2013
- E-Filing for all Companies Act compliances with MCA (MCA21)
- Compliances relating to all Corporate Actions
- Preparation of Board Minutes, Agenda, Notice, Annual Report
- Assisted in Compliances relating to Change of Name , Amendment of MOA & AOA
- Submitting quarterly returns to Stock Exchanges as per Listing Agreement
- Assisted in Declaration of Dividend , filing details of unpaid dividend with ROC
- Assisted in Amalgamation of two private limited Companies
- Assisted in filing XBRL (Annual Return)
- Drafting reply to Notices from ROC regarding non compliance of Companies Act, 1956
- Applying for NBFC License with RBI for a private Company
- Maintaining Statutory Registers of Private Companies (Sugal Group)
Education
Bachelor of Science -
University at Albany
Albany, NY1998
Skills
- Proficient in Microsoft Office, FD - First Derivatives - Trade Surveillance System
- Excellent work ethic
- Project management
- Excellent attention to detail
- Self-sufficient
- Energetic and proactive
Timeline
Compliance Specialist
Mindsprint Digital Media PTE LTD
11.2016 - Current
Level 1 Associate
BNP PARIBAS
12.2014 - 10.2016
Legal Executive
Rathnakumar & Co Associates
02.2014 - 08.2014
Management Trainee
Sugal & Damani Share Brokers Limited
05.2012 - 08.2013
Bachelor of Science -
University at Albany
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