Mohan Rao Addula
Summary
Compliance professional with 18 years experience in driving regulatory policy adherence and risk reduction. Expert in compliance monitoring & personal trade surveillance, Code of Ethics. Out side business activity, Experienced in UAT testing & developing and delivering compliance training programs.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Deputy Manager - Compliance
Franklin Templeton International Services India
07.2007 - Current
- Employee Trade Surveillance – Monitor and analyze trends in employee personal trade using Protegent PTA & Star Compliance. Also, monitor gifts and entertainment reporting as well as outside business activities for conflicts of interest setup by firm Code of Ethics and Insider Trading Compliance Policy and Procedures, Rule 17j-1 of the Investment Company Act of 1940 and Rule 204A-1 of the Investment Advisers Act of 1940.
- Review and approval of Preclearance trade requests for employees personal trading activities
- Conduct daily surveillance of executed trades in Employee and Employee related personal trading accounts to ensure compliance with the Firms Watch & Restricted Lists, Front-running and Insider Trading policies
- Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements.
- Responsible for reporting to the Chief Compliance Officer on the state of the surveillance program, detailing the identification and status of significant risk and compliance issues
- Present compliance and surveillance findings to the applicable management teams
- Create, update and deliver training to team members regarding applicable laws, regulations, policies and procedures and methods and best practices for reviewing.
- Conducts on-going employee education and manage the Compliance Hotline by answering employee questions and concerns regarding any aspect of the Policy and system related quiries
- Supervises work of team to ensure high quality of work delivered
- Enhanced employee performance by providing regular feedback, coaching, and training opportunities.
- Supervises day-to-day activities for a team of individual contributors.
- Supervises daily workflows and is accountable for delivery of work assigned to agreed service levels.
- Provides input to routine & exceptional decisions regarding processes / systems issues, utilizing depth of knowledge/technical expertise to provide guidance and direction to teams. Escalates where manager input required.
- Works with team, under direction of leadership, to identify opportunities for and potential barriers to process and/or product improvement within area of accountability, and may make recommendations accordingly.
- Works closely with different global Compliance officers/Managers/Analysts in delivering of reports as per their local requirements.
- Preparing Metrics and dashboard on monthly basis which will be a sign of the production and accuracy details of the team.
- Compile regulatory compliance reports for regulators and internal auditors
- Document and update the process procedures as per the DocuTools format
- Ad hoc assignments as assigned, including investigations
- Monitor and conduct staff appraisals and ensure timely feedback is provided to the staff.
- Working with manager to identify high potential and top performing staff and makes plans to stretch/develop these individuals further
- Providing inputs to Managers on evolving needs of the job and talent acquisition needs
Audit Assistant
GHOSH KHANNA & CO. (Chartered Accountant Firm)
08.2006 - 07.2007
- Monthly compliance audits of franchises of Educational institutions.
- Procedural audits of Agencies of Financial Institutions.
- Income Tax Planning for Individuals, Partnership firms and small business undertakings.
- Coordinating with team members.
- Preparation of draft reports and discussion with the clients.
- Preparation of Final Reports.
- Cash Management including Bank transactions, maintaining the books of accounts of the firm.
- Filing of Returns with Income Tax, Service Tax and Sales Tax Departments
Education
MBA -
VIVEKANADA PG COLLEGE
Hyderabad, India04-2006
Skills
- Team player with great attitude and work ethic and a strong attention to details
- Decision-making
- Self motivated
Hobbies and Interests
Listening Music., Playing Carroms.
Accomplishments
- Traveled multiple times to USA for process transitions/trainings
- Attended Global Compliance summit in United States & Germany and delivered presentation on Code of Ethics roles and responsibilities
Certification
- Claritas Investment Certificate, CFA Institute - 2015
Languages
Telugu
Bilingual or Proficient (C2)
English
Bilingual or Proficient (C2)
Timeline
Deputy Manager - Compliance
Franklin Templeton International Services India
07.2007 - Current
Audit Assistant
GHOSH KHANNA & CO. (Chartered Accountant Firm)
08.2006 - 07.2007
MBA -
VIVEKANADA PG COLLEGE
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