Sanjay KN
Vice President
Bengaluru
Summary
Performance-driven Vice President with 16 years of experience aligning systems with business requirements, policies and regulatory requirements. Passionate about applying excellent organization and communication skills to manage and lead teams. Results-oriented individual well-versed in interfacing and consulting on business processes to drive results based on sound overall business judgment.
Overview
17
17
years of professional experience
Work History
Vice President
JP Morgan Services India Pvt Limited
07.2017 - Current
- India lead for onboarding of global new clients and configuration of investment product offering.
- Partner with operations, technology and product team members to identify arrears of technical and operational improvement
- Responsible for identification of opportunities to automate custom reporting solutions
- Develop and maintain custom client reporting solutions, including board level reporting with charts/graphs and well written bespoke commentary
- Responsible for contributing to current custom deliverables for high profile global clients
- Rule coding and testing for newly created product attributes within JP Morgan TRAC systems
- Compliance Investment Guideline incident investigation and breach (with subsequent Profit / Loss) analysis
- Post Trade management and breach investigation of fixed income and equity trades and providing the analysis to the Portfolio Managers
- Working with both Compliance and business to resolve issue or deviations from firm and regulatory rules.
- Providing support to the sales process with contributions to RFP's
- Responsible for reviewing industry best practices for reporting solutions
- Hired and managed employees to maximize productivity while training staff on best practices and protocols.
Senior Assistant Vice President
Copal Amba Research Limited (Moody's Analytics)
06.2105 - 06.2017
- Managing a team of individuals who are responsible for Client negotiation to compose or revise compliance investment guidelines, mandate risk parameters and guideline breach investigation
- Interpreting Compliance investment guidelines within client mandates, fund prospectuses, and regulatory directives to implement automated monitoring for prevention of guideline breach
- Compliance Trade Advisory and Surveillance Monitoring of regulatory laws, Fixed Income and Equity strategies
- Post Trade management of fixed income and equity trades and providing the analysis to the Portfolio Managers
- Breach investigation
- Monitoring and reviewing of client transactions for fair market treatment and fraudulent behavior
- Conduct investigations linking to to various surveillance tools together (Bloomberg, latent Zero etc)
Assistant Manager
State Street Global Advisors – Bangalore
06.2012 - 06.2015
- Managing a team of individuals who are responsible for Client negotiation to compose or revise investment guidelines and mandate risk parameters during the draft stages before account launch
- Responsible for on-site migrations from Boston and London offices
- Sentinel Rule coding and testing for newly created product attributes Expertise in Trading System (LZ Sentinel) and main contact for Portfolio Construction Team
- Post Trade management of fixed income and equity trades and providing the analysis to the Portfolio Managers
- Establishing and maintaining compliance policies and procedures and monitoring investment advisory, employee trading and compliance issues
- Providing periodic trainings and updates on compliance policies and procedures to investment and other compliance teams
- Assisting with the reviews and preparation of standard compliance and transactional documentations
- Drafting, filing and maintaining records of SEC and other regulatory filings
- Establishing and maintaining compliance signatures on client documents and attesting the same
- Assisting in addressing multi-jurisdictional regulatory issues, performing quarterly and annual reviews, working on special company wide projects etc
- Review of marketing materials from a compliance perspective
- Conducting employee performance reviews and appraisals
- Led 2 global projects “Text Rules – Fully automating the rules governing investment guidelines” and “Accounts re-review – going through all the investment guidelines of accounts which were onboard prior to 2010 and coding them in our trading system”
Senior Analyst
Goldman Sachs – Bangalore
11.2006 - 06.2012
- Working with Portfolio Managers in handling trading guidelines for GS client
- Working with the client teams in getting SOX Approvals
- Sign off on Trading guidelines for Equity/ Money Market and Municipal accounts
- Risk management of regulatory laws for collective investment schemes across global markets
- Specialist responsibility and coverage in management information reporting and data analysis
Education
MBA -
CMR Institute of Management Studies
Bengaluru06.2006
Skills
Strategic Planning and Execution
Operations Oversight
Process Improvements
Leadership Training
Business Process Reengineering
Succession Planning
Timeline
Senior Assistant Vice President
Copal Amba Research Limited (Moody's Analytics)
06.2105 - 06.2017
Vice President
JP Morgan Services India Pvt Limited
07.2017 - Current
Assistant Manager
State Street Global Advisors – Bangalore
06.2012 - 06.2015
Senior Analyst
Goldman Sachs – Bangalore
11.2006 - 06.2012
MBA -
CMR Institute of Management Studies