AVP - State Street Global Advisors India Pvt. Ltd.
(2023-03 - 2024-09)
Line of Business: SSSGA India Compliance – Market Surveillance
- Electronic communication, trade, and voice surveillance of designated Portfolio Managers/Traders and Regulatory Broker-Dealer Investment employees, for Market Abuse, DLP & Regulatory compliance breaches. Executed comprehensive testing protocols to maintain the highest compliance standards.
- Producing and publishing timely & accurate reports for EC and key stakeholders including budget planning, Optimum staff utilization, Skill matrix with scope for new opportunities
- Team management and governance by ensuring the team operates in accordance with internal and external rules and regulations, timely and efficient escalations of identified potential breaches, adequately staffed at all times, adaptation to various critical levels, performance evaluations, and merit rewards finalisations.
- Facilitated professional development opportunities for staff, elevating skill sets and promoting career progression.
- Administered change management processes to facilitate smooth transitions during organisational restructuring and mergers.
Officer – Senior Manager - State Street Global Advisors India Pvt. Ltd. - Boston / Bangalore
(2020-03 - 2023-02)
Line of Business: ICG - NA Business Controls (Boston), Sales Support & Effectiveness - RFP Team Bangalore
- Spearheaded in an individual contributor capacity for business controls functions. Most Favoured Nation fee reviews, client due diligence certifications, FINRA/NFA licensing and registrations, marketing/promotional materials reviews, analysing investment breach reports, broker-dealer affiliated communication surveillance, qualitative secondary reviews for RFP/DDQ/DDI documents, contracts/agreement filings, initial addressal of customer complaints. Participated in recruitment panels for team expa
- Sales Support & Effectiveness – RFP Business: Quality review of completed RFP/RFI/DDQ's for correctness, appropriate responses, business controls requirements and provided qualitative suggestions/recommendations for process efficiency.
Assistant Manager – AMO - BNY Mellon International Operations (India) Pvt. Ltd.
(2007-03 - 2016-09)
Line of Business: BNYM Asset Management / MBSC Securities Corporation (Broker-Dealer). Regulatory Functions: Electronic Communication Monitoring, Global Holding Reporting, Anti-Money Laundering. Value Add Functions: End-to-End Billing, Value-add Electronic Communication review
- Pioneered in the set-up of the enterprising regulatory email review at the Global Delivery, and provided qualitative technical and administrative assistance towards the transition of other functions over the years. Spearheaded the day-to-day operations of functions, completed to the best of abilities, with optimum quality. Focused on optimising resource utilisation and streamlining processes for enhancing operational efficiency and departmental profitability.
- Business Continuity Management: Regular key inputs including maintenance of the Crisis Management system portals, and completion of annual testing of the Business Recovery Site as defined by the Business Continuity teams. Value add Internal training imparted to the team members.
- Team management and governance by ensuring the team operates in accordance with internal and external rules and regulations, timely and efficient escalations of identified potential breaches, adequately staffed at all times, adaptation to various critical levels, performance evaluations, and merit rewards finalisations. Facilitated professional development opportunities for staff, elevating skill sets and promoting career progression. Administered change management processes to facilitate smooth
- Ensured compliance to ISO 9001:2008 standards for internal and external audits & successfully certified.
Unit Manager - MphasiS India Pvt. Ltd. - Pune
(2003-01 - 2005-12)
- Began my association with the BPO as a Registered Representative for Capital Market Services, for a process that was a registered brokerage firm with NASD. Certified FINRA Series 7 and 63. Experienced in handling inbound customer service calls for the banking process, and market development research for companies in various sectors. Redeployed to a process at a leading utility firm (Power & Gas) in the United Kingdom. Managed the production team for daily deliverables, quality controls, and valu
Sr. Marketing Executive - Standard Chartered Bank, Pune (SMART Marketing Services) - Pune
(2001-05 - 2002-12)
Function – De-mat & Finance Against Shares
Manager Loan Appraisal and Finance (2 Wheeler Div) - Seva Auto Pvt. Ltd. - Nasik
(1998-03 - 2001-03)
Function – Two wheeler finance (BAFL)
Sr. Marketing Executive - Trans India Resorts Ltd - Mumbai
(1993-04 - 1998-01)
Function – Time share concept marketing, hiring, training & Event management
Sales Representative - Reckitt & Coleman of India - Mumbai
(1992-04 - 1992-12)
Function – Stockists & Retail network for the FMGC products
Sales Officer - Cadila Laboratories Ltd (Cosmetic Div.) - Mumbai
(1991-03 - 1992-03)
Function – Stockists & Retail network for the FMGC products
