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
2016.11 - 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
2014.12 - 2016.10
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
2014.02 - 2014.08
Filing annual returns with Registrar of Companies (ROC)
Preparation of search and status reports and filing forms for registration of charges
Obtaining Director Identification Number (DIN), Digital Signature Certificates(DSC)
Registration of service tax and filing returns
Management Trainee
Sugal & Damani Share Brokers Limited
Chennai
2012.05 - 2013.08
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, NY
1998
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
2016.11 - Current
Level 1 Associate
BNP PARIBAS
2014.12 - 2016.10
Legal Executive
Rathnakumar & Co Associates
2014.02 - 2014.08
Management Trainee
Sugal & Damani Share Brokers Limited
2012.05 - 2013.08
Bachelor of Science -
University at Albany
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