RUBESH A
Bangalore
Summary
Apply my professional knowledge along with the strong experience in Compliance to fulfill the responsibilities of my role in the organization and work with an attitude of continuous learning. Positively face the challenges of my job with a solution-oriented approach. Also develop my professional experience and managerial skills that would empower me to work more efficiently throughout my career.
Overview
3
3
years of professional experience
Work History
Compliance Associate 2
State Street Global Advisors
01.2023 - Current
- Client Compliance deals with delivering Standard and Non-Standard Certification to the clients as per defined deadlines
- Preparing a detailed report on Proxy Voting, Organizational changes, Material Violation and Soft Dollars
- Proactively co-ordinate with State Street SME's, CRM and Portfolio Managers to give an ultimate resolution to the Stake holders about the breaches
- Providing customized Standard Compliance Certification adhering to client IMA guidelines
- Worked on Bloomberg terminal on accumulating firms financial data's
- Excel Calculations of Firms Holdings report and 144A holdings of the company
- Performed walkthrough calls with clients to make sure the controls are designed effectively
- Verification and releasing of Qualified Institutional Buyer's (144a Securities) and Regulation's Compliance Certificates
- Worked in 4 regions of client deliverables
- Served as a subject matter expert on compliance-related topics, providing guidance to colleagues and stakeholders as needed.
- Collaborated with cross-functional teams to ensure timely resolution of compliance issues and promote adherence to industry standards.
Compliance Analyst
State Street Global Advisors
01.2022 - 01.2023
- Producing standardized Compliance Certificate based on funds errors logs
- Managed month-end processing resulting in timely and accurate reporting
- Downloading Sentinal reports of financial reports
- Reviewing on clients IMA for compliance Certificate
- Responding to clients follow-up on portals such as Diligence Vault, Dasseti, CENTRL, Castine LLC.
- Collaborated with cross-functional teams for the successful implementation of new compliance initiatives.
- Monitored adherence to industry regulations, ensuring timely reporting.
Education
Master of Commerce - Banking and Finance
Christ University
Bangalore01.2022
Bachelor of Commerce - Banking and Finance
St.Joseph's College
Bangalore01.2020
Skills
- Team Leadership
- Problem Solving
- Team work
- Effective Time Organization
Accomplishments
- E Spot Award for taking ownership on timeliness of Annual deliverables.
- Streamlined the duplication task of 56 hours from the deliverables.
- Worked on automation of Standard reports through Python and Documentum.
- Trained 4 new team members for new process which improved team performance by 30%.
Proficiency
- Bloomberg and Sentinal.
- Applied Financial model using MS-Excel.
- Sales force and ICAMS application.
Languages
English
Tamil
Kannada
Hindi
Timeline
Compliance Associate 2
State Street Global Advisors
01.2023 - Current
Compliance Analyst
State Street Global Advisors
01.2022 - 01.2023
Master of Commerce - Banking and Finance
Christ University
Bachelor of Commerce - Banking and Finance
St.Joseph's College
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