Raviteja Chekhuri

• As a Senior Specialist in Enterprise Compliance Team, I am responsible for Analyzing, Interpreting and reviewing various financial marketing materials and advertising materials consistently to ensure compliance with applicable regulatory requirements (FINRA, SEC, FCA, MIFID II..)
• Review the product and strategy materials and ensuring that they are equitable, comprehensive, and fully support the business growth objectives.
• Ensuring adherence to Content Management, Disclaimers pertaining to various countries.
• Reviewing and approving materials such as presentations, commentaries, Fact sheets etc
• Handling communications and meetings with line of business for regular updates and governance.
• Presenting monthly reports and governance deck to onshore stakeholders.

• I was part of Personal Account Dealing Transition & Surveillance Team, I am responsible for overseeing personal investment policy coverage, conducting account reviews, and facilitating data collection to ensure effective trade surveillance
• Review accounts disclosed by employees to validate that they are in compliance with the Code of Ethics
• Developed and implemented standardized procedures for issuing 3210 letters as per FINRA regulatory requirements and tracking employee compliance with the 60-day deadline, ensuring timely closure of personal accounts
• Perform activities such as Link and De-link the employee accounts from E-feed, match the pre-trade approvals with employee's trades by reviewing the statements, Request consents from employees in order to add their accounts to feed, Link the outside/private securities to employees profiles
• Investigated and resolved instances of non-compliance and misconduct related to personal trading activities, collaborating with relevant stakeholders to implement corrective actions and prevent recurrence
• Responsible for assisting employees on queries related to Personal account dealing policy, Personal trade pre-clearance policy, information barriers policy
• Request and review the statements from the relevant employees, monitor the trades, and record them in the internal system
• Monitor and investigate the alerts from trade surveillance models to detect market abuse and market manipulation.
• Review trading models like Insider Trading, Front running, Wash Trade, Layering, Spoofing, Ramping etc. for Equity segment.
• Process employee requests related to PAD Trade approvals, Gifts & Entertainments, Outside Business Activities.
• Responsible for training new team members and conducting quality assurance activities
• Effectively managing multiple mailboxes and addressing escalations from employees across various business lines concerning personal account dealing and the pre-clearance of personal trades.

• Complete understanding of TPRM life cycle end to end i.e. Evaluation to Termination of engagement.
• Understanding business and evaluating need for engaging Third parties and analyzing initial risks associated with
respective Third party.
• Completion of Inherent Risk Questionnaire(IRQ) to Identify risk assessment that are required to be completed
depending upon scope of Engagement using TRIMS application.
• Complete exposure on Third Party Management Life-Cycle which includes creating candidate profile in TRIMS (STORM),
Performing Due Diligence, Regular Monitoring and Termination of vendor.
• Perform QA Reviews on TRIMS records and or TPSP policy requirements.
• Involved in End to End Contract Management with review, drafting and negotiations of Non Disclosure Agreements and
Meeting & Event contracts between Third party and Wells Fargo.

• Account services Team is responsible to handle all the queries related to the accounts. We handle the customer mailbox and will resolve all the queries related to their payments, online access and general enquiries pertaining to ACH Fraud Filters, Misapplied/Missing Lockbox payments.
• Cash Management Team deals with cash Transactions. We are responsible for making and clearing the payments of Borrower. We record all the cash transactions also disburse the excess to the borrower via WIRE.
• As part of KYC team I was responsible for the background verification of the customer
• As a part of CIP (Customer Information Program) we collect and review all the required documents like W9, Certificate of Authority (COA), Formation Documents and the Org Chart from the Borrower
• Performing the OFAC search to all the parties and ensure that all required KYC information and documentation for new and existing client is complete and accurate.