ROHAN DILIP PATIL

Regulatory Onboarding (Dodd-Frank) January - 2023 to present

• Led end-to-end onboarding of hedge fund and asset management clients for Foreign Exchange ( FX) and Prime
• Brokerage services, across a broad range of FX and derivative products.
• Conducted calls with Senior Leaders and Sales Heads to provide updates on the process and onboarding status.
• Facilitated credit limit setups for Prime Brokerage clients, aligning with internal risk policies and trading thresholds.
• Conducted regulatory due diligence and control checks during onboarding to ensure compliance with trade-specific regulatory requirements.
• Investigated daily trade breach reports, working closely with traders and sales teams to resolve and remediate breaches efficiently.
• Partnered with internal stakeholders to analyze breach trends and develop process improvements aimed at reducing future occurrences
• Supporting Regulatory Onboarding projects with a focus on compliance with Dodd-Frank regulations and APAC consent requirements.
• Validating test cases and project scope logic for Essential Facts and APAC Consent Letter initiatives.
• Managing client outreach and remediation activities for regulatory data updates.

Client Onboarding Team (January 2022 - December 2022)

• As a part of Transition Management Team handel end to end client onboarding for Negotiated FX and FX Overlay clients
• Managed onboarding lifecycle by coordinating with cross-functional teams including Sales, KYC, Legal, and Client Lifecycle Management ( CLM) to ensure timely and compliant client activation.
• As a part of Client Life cycle Management (CLM) team involved in maintaining the static data housed within Apollo, a central static data warehouse and actioning account setup/user requests within Apollo for both new and existing clients and then extending that connectivity to various external trading platforms when notified to do so e.g. Bloomberg, FXALL, FXConnect, 360T, and Barracuda

Project Songbird (April 2020 - December 2021)

• Led remediation of fragmented market documentation framework across clients, products, services, and jurisdictions
• Built infrastructure to support document workflows, quality controls, and linkage with Client reference data
• Executed end-to-end document remediation: sourcing, reviewing against gold standards, and identifying gaps
• Raised and resolved data quality issues via JIRA, improving accuracy and consistency of internal datasets
• Collaborated with cross-functional teams to define remediation requirements and deliver within project timelines
• Trained and guided team members on remediation best practices, ensuring compliance with defined standards
• Managed client outreach to recover missing documentation, resolving queries with legal and sales collaboration

• Managed corporate action bookings for synthetic equity, ensuring accurate trade entry and reconciliation.
• Used systems like STARS, Espear, GED Imagine, and Tracer to book and track CA trades.
• Resolved trade discrepancies and minimized P&L impact through pricing validation.
• Automated daily reports, reducing manual effort significantly.

• Prepared reports on over-borrowed positions, loss-making trades, and market trends.
• Advised traders using Bloomberg and other market tools to mitigate trade risks.
• Delivered daily MIS and customized reports for trading desks.
• Received promotion and awards for efficiency and innovation.

• Supported life insurance portfolio documentation and data extraction.
• Conducted due diligence and created benchmark reports for policy pricing.
• Automated redaction tools, saving over 2 hours per day.
• Awarded multiple Spot Awards for high performance and innovation.