compliance officer
Phillip Capital
Total years of experience :17 years, 5 Months
Handling, Trading, Operations, Risk and ensuring compliance with regulatory bye laws & company policies
Dealing with US, Singapore, UK, India, and Australia team to service the client.
Good Understanding of International Exchanges and amp; platforms like MT4, Flex Trader, CQG, J Trader, Bloomberg
, Reuters etc.
Handling various client queries on operations, trading and risk.
Ensuring that the company adheres to legal standards and in house policies.
Identifying potential areas of potential vulnerability and risk
Making sure that compliance procedures, systems are up to date and effective
Design and implemented compliance policies and procedures
Manage all the database providing reports as stipulated by regulatory and oversight bodies
Facilated compliance training needs
Registration and Settlement
Placed equity, option and mutual fund trades, provided quotes and facilitated discussions regarding equity markets,
fixed income markets, international markets and economic conditions
Analyzed clients' portfolio exposure to risk to help determine suitability of investments
Developed and implemented lean initiatives through team problem solving sessions to identify ways to improve
Process efficiencies as well as the business strategy of the organization
Performed the required KYC screenings on customers documenting the information obtained on the client's as
required by global KYC procedures.
Preparing Daily, Weekly, Monthly MIS of Quality, Productivity, Team Performance etc.
Preparing & presenting various weekly/monthly MIS reports pertaining to process and productivity, spearheading
process improvement initiatives...
Evaluating the performance of the team and conducting performance appraisals.
Share Team performance & reports to the upper management levels.
Quality Management
Maintaining a high-quality customer experience, elevating customer satisfaction, while adhering to the SLAs and
work processes and thus managing cost-effective operations.
Ensuring CTQ targets and performance standards are met by the team.
Keeping TAT commitments, handling escalations and monitoring quality standards of team through constant
monitoring and providing feedback.
Preparing milestone documents like Process Workflow, Root Cause Analysis during escalations, etc.
Achievements:
Built a new team for the project work
Met deadlines consistently.
Reorganized the team structure to improve productivity and quality
Contributed to good customer service as a result received appreciation from the client
Team Management
Identifying and implementing strategies for building team effectiveness by promoting a spirit of cooperation
between team members.
Develop need based training modules for developing multi skilled work force for cross utilization within sub
processes for optimum efficiency...
Developing metrics to measure individual competency scores and methods to monitor the same on a regular
basis.
Implemented new risk management and position sizing strategy and traded focused on technical analysis and
momentum trigger approach.
Sourcing commodities available through Online Trading Exchanges for Clients
Upload exchange’s files in CTCL admin terminals and managers
Managed asset risk by use of fundamental and technical analysis
Increased portfolio value through understanding of capital markets and trading of a personal portfolio
Develop strategies to look after company’s trading risk and squaring off the leveraged position of client (MCX &
NCDEX), reporting and other management responsibilities
Expertise in handling Surveillance (trading exposure), and Monitoring client’s trading exposure.
Able to Plan BOD & EOD for the Team for better output of their abilities
Met perspective clients to give presentations along with the senior managers
Manage Compliance Issues of Exchanges
Analyzed S&P 500, NASDAQ, and NSE to gauge market trends.
Researched and created a daily hot stock list based on earning's reports, news, trends, and other criteria.
Implemented risk management and position sizing strategy.
Traded based on Technical analysis and candlestick set ups, entry on momentum trigger.
Part of the Auditors Team
Effectively responsible for the cost auditing of esteem organization like Wockhard, Haffkine bio-pharmaceutical
SCA/CISI qualified for the role of compliance and Operation Investment Operation Certificates from UAE
MBA in International Business with Finance
Master in Commerce and Accountancy