Sathish MS

• Managed employee compliance activities, serving as the primary point of contact for employee queries related to compliance policies, procedures, and regulatory requirements.
• Administered and monitored mandatory compliance training programs, assigning role-based training modules and ensuring timely completion across business functions.
• Oversaw employee attestation processes, including New Hire, Information Security (ISSP), Quarterly, Annual, and ad hoc attestations, ensuring completion within established deadlines.
• Reviewed and approved personal account dealing (PAD) pre-clearance requests by performing conflict checks against restricted lists, watch lists, and other compliance controls.
• Investigated and reviewed trading alerts generated for personal transactions executed without required pre-approval, ensuring appropriate escalation and remediation.
• Managed employee breach cases in accordance with breach management procedures, issuing breach notifications and communicating findings to employees and management.
• Conducted surveillance and monitoring of employee trading activities to identify potential conflicts of interest and policy violations.
• Performed reviews of employee trades within Fundamental Equity Research teams to ensure compliance with coverage restrictions and insider trading controls.
• Tracked, monitored, and reported frequent trading activity, identifying trends and escalating potential compliance concerns where necessary.

Broker Account Monitoring & Surveillance

• Maintained employee brokerage account oversight through ComplianceAlpha (ACA), including management of direct-feed, aggregated-feed, and manually reported brokerage accounts.
• Established and maintained broker account feeds between ComplianceAlpha (ACA) and brokerage firms to facilitate automated monitoring of employee trading activity.
• Performed statement reviews for manually reported brokerage accounts to ensure completeness, accuracy, and compliance with personal trading policies.
• Coordinated brokerage account disconnections and account monitoring closures for terminated employees in accordance with offboarding procedures.

Employee Disclosure Reviews

• Reviewed and assessed employee disclosures related to Gifts & Entertainment, Outside Business Activities (OBA), Conflicts of Interest, Political Contributions, and Private Investments.
• Conducted compliance reviews to identify and mitigate potential regulatory, reputational, and operational risks arising from employee activities and disclosures.
• Ensured employee disclosures adhered to internal policies, regulatory requirements, and industry best practices.

Governance, Reporting & Process Improvement

• Supported the review, maintenance, and enhancement of compliance policies, procedures, user guides, and FAQs to reflect evolving regulatory requirements and business needs.
• Generated management reports and compliance metrics related to employee trading, attestation completion, breaches, and surveillance activities.
• Partnered with stakeholders to improve compliance processes, strengthen controls, and enhance operational efficiency through automation and process optimization.
• Assisted in compliance monitoring activities, internal audits, and regulatory reviews by providing documentation, reports, and evidentiary support.

• Monitored employee personal account trading , outside business activities (OBA), and private investments to ensure compliance with regulatory requirements, information barriers, restricted lists, and internal policies.
• Conducted trade surveillance across multiple asset classes, identifying, investigating, and escalating potentially suspicious activities and policy violations.
• Reviewed and approved employee personal trades and outside business activities, ensuring adherence to compliance and conflict-of-interest standards.
• Performed Quality Assurance (QA) reviews across compliance processes including conduct & disciplinary cases, PAD, OBA, complaints management, and training compliance.
• Investigated compliance breaches, monitored issue remediation, and supported regulatory reporting, governance, and risk management activities.
• Provided oversight and quality control for E-come surveillance teams, reviewing work outputs, delivering feedback, and driving process improvements.
• Partnered with Compliance, Operations, and Technology teams to support regulatory projects, system enhancements, user acceptance testing (UAT), and process automation initiatives.
• Developed management information (MI), dashboards, and compliance reports for senior management, while delivering compliance training and promoting risk awareness across the organization.

MyComplianceOffice (MCO), MyTrades, IBM-WI Risk Management, Global Conflict Management System, QlikView, Jira, MS Office Suite, Teams, WFM, Performance Quality Management System

§ Involvement in Reviewing, investigating and escalation alerts generated by the Market Surveillance system.

§ Perform daily monitoring tests that ensure that the risks within the monitoring plan are mitigated.

§ Escalating situations to relevant divisional compliance officers and business unit managers.

§ Performing and prepare reports relating to surveillance including holdings, positions, personal account trading, restricted trading.

§ Sharing / mailing warning letter to stock broker if there any violating code of conduct

§ Plan & take appropriate action to client accounts if any suspicious activity is established in the daily surveillance.

§ Handing and identification of Operational risk incidents.

§ Implement strategic plan to prevent, eliminate and mitigate operational risks.

§ Track and monitor operating risk issues for business units.

§ Report operational risk issues and decisions to senior management on regular basis.

§ Investigate root causes of operational risks and provide support to mitigate risk.

§ Collaborate with process owners to mitigate risk.