PRASHANT DINESH KANEKAR
Mumbai
Summary
Dynamic professional with extensive experience in Financial Services Industry, excelling in Risk & Control reporting and compliance monitoring. Proven track record in enhancing data integration and driving process improvements. Strong interpersonal skills and a keen attention to detail have led to successful KPI management and risk control development, ensuring operational excellence and alignment with regulatory standards.
Overview
17
17
years of professional experience
Work History
Assistant Vice President – Commercial Operations Governance
Moody’s Investors Service
06.2025 - Current
- Executed systematic oversight of data and process efficiency throughout customer lifecycle.
- Maintaining consistency in process documentation via diligent pre-go-live evaluations.
- Establishing processes for continuous KPI reporting, focusing on completeness and relevance.
- Partnering with teams to improve data integration for effective dashboard reporting.
- Performing regular assessments of key operational controls to ensure compliance with thresholds.
- Managing tracking and reporting of issues and observations to ensure alignment with process standards.
- Submitting regulatory documentation for SFC, MAS, DORA, and SEC ahead of schedule.
Director (Assistant Vice President) – Operations Risk & Regulatory Controls (Regulatory Reporting - Disclosure of Interests)
Morgan Stanley Advantage Services Pvt Ltd
11.2022 - 05.2025
- Regulatory Compliance and Reporting - Overseeing regulatory disclosure filing submission related to Substantial Shareholdings, Short-Selling, Market Abuse Regulation, Takeover Regulations, Beneficial Ownership disclosures for EMEA jurisdictions.
- Alert monitoring and investigating Morgan Stanley entities to ensure compliance with regulatory thresholds across functions.
- Conducting impact analysis and investigation to determine the scope of disclosure obligation.
- Ensuring data quality and raise any risk that might pose impact to regulatory reporting.
- Preparing monthly MIS, Governance Metrics, and Depth Charts for Governance Committees and senior management.
- Handling the shareholding disclosure queries from the Regulators, Registrars, Agents and Issuer.
- Handling the queries from the UK and Irish Takeover panel regarding the positions and trades disclosure.
- Supporting the Operations in the creation and submission of various regulatory disclosure filings to the regulators and issuers.
Senior Associate (Manager) – Citi Investment Research (Risk Management - Research Operations)
Citigroup Global Markets India Private Limited
08.2014 - 11.2022
- Risk Assessment and Control - Conducting risk assessments and audit to identify vulnerabilities and analyze possible risks related to research operations.
- Analyzing data, detecting errors, performing root cause analysis, and facilitate planning for risk mitigation.
- Reviewing if the business unit has updated their financial research disclosures as per Legal & Compliance guidance.
- Auditing and monitoring if the research staff globally are in compliant with standards to publish their name on research reports.
- Monitoring and reviewing the accesses related to Material Non-Public Information (MNPI) and authoring research reports.
- Identifying lapses by users related to conflict-of-interest certification and non-completion of mandatory compliance trainings.
- Preparing reports for Independent Compliance Risk Management (FINRA Series Registration, Cross Border Coverage, draft research entitlements, email monitoring, 15A-6 Form, compliance trainings and disclosures updates).
- Conducting regular review of risk controls across research functions to ensure that they are up-to-date and relevant.
- Reporting the quarterly audit and control testing results or findings to the stakeholders and senior management.
- Communicating recommendations to stakeholders for enhancing / developing risk management controls and systems.
- Collaborating with Compliance, Business Unit and Tech to develop new controls upon any findings to any prevent potential risk.
- Tracking and reporting on the progress of the internal controls implementation to mitigate potential risks.
- Supporting ICRM team on yearly Record Management activity and other tasks related to Audit & Compliance reviews.
- Ensuring that the data is managed, secure, accurate, audited, and documented.
- Coordination with Internal Auditors and ICRM during Business Audit and support the preparation of relevant meeting materials.
- Managing the periodic procedures and End User Computing (EUC) updates and responsible to escalate the overdue items.
- Promoting employees risk awareness and train them on the compliance rules when required (e.g., phishing simulation exercise).
Senior Associate – Wealth Management Services (Quality Control Oversight - Reconciliation)
State Street Syntel Services Private Limited
03.2011 - 08.2014
- Overseeing the Reconciliation between Investment Manager Books vs Custody Books.
- Ensuring operations always achieve deadlines and accuracy as per the set SLA.
- Identifying the issues in Cash and Positions / Asset recon and reporting it to the onshore client team.
- Closely worked with The U.S. based end client (Investment Manager – Eaton Vance, Capital Guardian, and Deutsche Bank) and other onshore teams for managing and resolving recon breaks or issues identified in day-to-day business.
- Gathering and analyzing data to drive towards true root cause of data quality problems and process inefficiencies and institute changes (people, process, tools and technology) for permanent prevention.
- Review of end of day checklists for 'Quality Assurance' of operation’s activities.
- Reviewing the changes required in procedures and cascading the same to production team for proper effectiveness.
- Preparing daily and monthly reports (MIS report, SLA reports) as per requirements of the management and client.
- Designing 'Process Flow Chart' and 'Standard Operating Procedure' for the process.
- Implementing continuous process improvements to reduce errors and gaps in reconciliation process.
- Coordination with Auditors at the time of Internal and External Audit, providing them the process walkthrough, requisite samples, and addressing their queries.
- Mentor junior team members and get them up the learning curve through conducting learning sessions and trainings.
Accounts Executive – Accounts and Administration
Officeinfiniti
03.2010 - 03.2011
- Accountancy, budgeting, reconciliation, and MIS reporting.
Accounts Executive – Accounting, Reconciliation and MIS Reporting
Expressit Logistics Worldwide Limited
06.2009 - 03.2010
- Accounts Payable, Accounts Receivable, Auditing, Reconciliation, and MIS Reporting.
Account Assistant – Accounting, Reconciliation and MIS Reporting
Ushodaya Enterprises Private Limited - ETV Network
06.2008 - 06.2009
- Account Payable, Accounts Receivable, Reconciliation, MIS Reporting, Budgeting, Auditing.
Education
Bachelor of Commerce -
Mumbai University
06.2008
Skills
- Interpersonal and communication skills
- Regulatory reporting
- Data integration
- Risk assessment and management
- Compliance monitoring
- KPI management
- Process improvement
- Independent work ethic
- Self-motivation
- Attention to detail
- Task orientation
- Conceptual and analytical thinking
- Problem resolution strategies
- Risk control development
- Leadership and mentoring
- Recruitment and onboarding
- Training and performance management
- Time management and prioritization
- Complex issue resolution under pressure
Languages
- English
- Hindi
- Marathi
Hobbies and Interests
- Travelling
- Avid Cricket follower
- Listening to music
- Trekking
Computer Excellency
MS Word, Excel, PowerPoint, Outlook, Bugzilla, JIRA, SharePoint, RMS, Power BI, Bloomberg, Refinitiv (formerly Thomson Reuters), FactSet, Capital IQ, IFIS, Stock Exchanges websites, Tally ERP, Navision
Personal Information
- Passport Number: I0188940
- Date of Birth: 11/16/87
- Gender: Male
- Nationality: Indian
- Marital Status: Married
Timeline
Assistant Vice President – Commercial Operations Governance
Moody’s Investors Service
06.2025 - Current
Director (Assistant Vice President) – Operations Risk & Regulatory Controls (Regulatory Reporting - Disclosure of Interests)
Morgan Stanley Advantage Services Pvt Ltd
11.2022 - 05.2025
Senior Associate (Manager) – Citi Investment Research (Risk Management - Research Operations)
Citigroup Global Markets India Private Limited
08.2014 - 11.2022
Senior Associate – Wealth Management Services (Quality Control Oversight - Reconciliation)
State Street Syntel Services Private Limited
03.2011 - 08.2014
Accounts Executive – Accounts and Administration
Officeinfiniti
03.2010 - 03.2011
Accounts Executive – Accounting, Reconciliation and MIS Reporting
Expressit Logistics Worldwide Limited
06.2009 - 03.2010
Account Assistant – Accounting, Reconciliation and MIS Reporting
Ushodaya Enterprises Private Limited - ETV Network
06.2008 - 06.2009
Bachelor of Commerce -
Mumbai University