SAI SHEKAR GOUD THATIKONDA
Hyderabad
Summary
Assistant Vice President with solid decision making and problem solving skills. Possesses strong drive to design strategic goals and improve methods to achieve high success rates. Empowering professional with exemplary skills in business management. Possess strong leadership and communications skills. Geared up to motivate, inspire and empower team to be competent employees and good representatives of company.
Overview
16
16
years of professional experience
Work History
Compliance Officer
Oaktree Capital
10.2023 - Current
- Review Trust Compliance reports
- Maintained up-to-date knowledge of applicable laws and regulations
- Collaborate with cross-functional teams to address compliance concerns, fostering a culture of shared responsibility
- Liaise with External Counsel on policy matters
- Field queries from the regulator by coordinating with the Internal teams
- Enforce policies and ensure the employees are in compliance with the regulatory expectations
- Review regulatory reports on a periodic basis and ensure submissions on time
Assistant Vice president
CES LTD
10.2012 - Current
- Responsible to manage17 people across Legal, Compliance & Internal Control functions
- Review of employee personal trade requests, Gifts and Entertainment to public officials, Outside business activities as a part of enforcing the Code of ethics policies.
- Conduct various post trade surveillance activities viz trade error, window dressing, rule 105, price movements tracking, email communication monitoring
- Run conflicts on potential deals and erect infowalls and restrictions as part of protecting the MNPI
- Onboarding the new clients from an AML perspective by performing due diligence, KYC and necessary checks required by the respective jurisdiction's AML regulation
- Perform AML KYC on potential deals and assist the MLRO in the sign off process
- Coordinate with various teams internally and assist with the regulatory compliance team in helping them file the regulatory filings viz form PF, form ADV and Treasury filings
- Oversaw day-to-day functioning of operations
Senior Compliance Analyst
Invesco Ltd
01.2011 - 10.2012
- Review employee personal trades on Compliance systems and provide approvals as needed
- Help the Investment Compliance teams to prepare client certifications
- Client onboarding from AML standpoint
- Conducted various surveillance activities on employee and firm trades
- Organized files to support efficiency and traceability
Process Associate
Ness Technologies (Client - Invesco Ltd)
08.2010 - 01.2011
- Monitor employee personal transactions as part of enforcing the COE policy of the company
- Help the Onshore team with performing various surveillances post trade
- Preparing the quarterly certifications and liaise with brokers to gather the employee statements and transactions
- Review political Activity and Gifts and Entertainment to public officials
Senior Process Executive
Cognizant Technology Solutions (Client - UBS)
08.2008 - 06.2010
- Monitor Employee transactions on a daily basis as a part of enforcing code of ethics
- Review statements and trade confirmations
- Prepare quarterly reports and send it to the stake holders
- Handle the Control room calls and direct the user to the right compliance function
- Prepare client certifications
Education
Master of Business Administration - Business Administration
NIBM (Online)
01.2017
B.COM (Honours) - Finance
Loyola Academy
01.2008
Skills
- Code of Ethics
- Investment Compliance activities
- Regulatory reporting activities
- Policy making
- AML
- AML - Onboarding and Transactional
- Surveillance related activities
- Reviewing NDA's and Contract agreements
Accomplishments
- Streamlined workflow by consolidating lengthy processes and redundant documentation which resulted in more effective and timely completion of metrics system.
- Designed the Compliance framework and written down the policies
Additional Information
Key note - Ness Technologies did a built operate and transfer model for Invesco Ltd, i was hired by Ness Technologies to work for the client Invesco until Invesco LTD started their captive firm operations in Hyderabad, later i was moved on rolls of Invesco Ltd starting Jan2011.
Timeline
Compliance Officer
Oaktree Capital
10.2023 - Current
Assistant Vice president
CES LTD
10.2012 - Current
Senior Compliance Analyst
Invesco Ltd
01.2011 - 10.2012
Process Associate
Ness Technologies (Client - Invesco Ltd)
08.2010 - 01.2011
Senior Process Executive
Cognizant Technology Solutions (Client - UBS)
08.2008 - 06.2010
B.COM (Honours) - Finance
Loyola Academy
Master of Business Administration - Business Administration
NIBM (Online)
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