Ajinkya Chakre
Pune
Summary
Experienced and detail-oriented Investment Compliance Professional in the asset management industry who has achieved success in a variety of roles with increasing levels of responsibility. An effective communicator and team-builder with extensive knowledge of regulatory framework in addition to strong analytical, management and organizational skills.
Overview
13
13
years of professional experience
Work History
Sr Associate, Investment Compliance
BNY Mellon
04.2021 - Current
- Proactive in identifying issues and ensure adequate procedures and controls are established and followed in order to minimize risk and provide guidance on relevant compliance issues.
- Transition of automated compliance system (CRD to Aladdin)
- Act as SME and perform Pretrade and Post trade monitoring
- Guideline interpretation , rule coding and testing (CRD and Aladdin)
- Workload management and cross training
- Stakeholder management
- Regulatory filing and Client certification
Associate/Sr Associate (AVP) Investment Compliance
JP Morgan Chase
10.2018 - 03.2021
- Managed a group of 8-9 compliance specialists and senior specialists who perform day to day compliance monitoring responsibilities.
- Led training and development initiatives for new and existing staff members.
- Performed manager review of staff members work such as end of day compliance reviews in automated compliance system and set up of and changes to new and existing accounts.
- Assigned and oversaw new account set up, ad-hoc tasks, and projects to staff members and conducted regular meetings to discuss their workload and career development.
- Guideline Interpretation, rule coding and testing to automated compliance system Sentinel.
- Guideline changes and implementation in compliance system (Sentinel)
- Key contributor in meetings with internal stakeholders as it pertained to new and ongoing compliance issues such as new instrument processes, regulatory changes and impacts, and new fund launch initiatives.
- Pre-trade and Post trade monitoring to make sure fund within compliance
Emerging Lead/Team Lead, Investment Compliance
State Street Corp.
07.2016 - 10.2018
- Assisted in the training and development of new hires.
- Performed daily compliance monitoring for a more complex group of existing and new mandates.
- Enhanced the efficiency of the compliance testing process via ad-hoc projects.
- Audited existing accounts to ensure that proper compliance procedures and testing is applied to the appropriate investment guidelines.
- Being rule coding SME in CRD and MIG 21
- Rule coding, testing and implementation
- Team handling of 5 members in the absence of Manager.
Sr Analyst , Investment Compliance
BNY Mellon
12.2010 - 07.2016
- Reviewed, analyzed, and resolved breaches of fund investment guidelines.
- Conducted daily end of day and time of trade monitoring of institutional accounts and retail funds and logged any breaches identified.
- Provided analysis and commented on investment guidelines for institutional client accounts and new investment strategies for retail funds.
- Prepared and distributed daily, weekly, monthly, quarterly, semiannual and yearly compliance reports for clients, auditors, and regulators.
- Developed rules structure for automated and manual compliance testing (Compliance Monitor)
- Communicate daily with portfolio managers, traders, investment directors, client service managers, and local compliance contacts located in our international offices as it pertains to any investment compliance matters.
- Participated in the UAT and transfer to in house automated compliance system (Compliance Monitor).
Education
Certification in Fintech And Blockchain - Fintech And Blockchain
IIM Calcutta
Kolkata, India06.2021
Bachelor of Business Administration - Accounting And Finance
Sant Gadge Baba Amravati University
Amravati, India10.2009
Skills
- Team Leadership
- Regulatory Compliance
- Excellent communication skills
- Process Improvements
- Staff development/coaching
- Flexible
- Problem resolution
- Pre-trade/Post trade monitoring
- Rule coding on multiple platform
- Team-oriented
Technical & Professional Skills
Strong knowledge in MS-Office (MS Excel, Word, PPT, Access) etc.
Sound knowledge of working on Vendors website and data e.g., Bloomberg, S&P, Moody’s.
Good knowledge of writing/creating basic SQL queries.
Strong Capital market knowledge.
Compliance monitor, MIG, CRD, Sentinel, Aladdin
Additional Information
A dynamic leader known for fostering teamwork and thriving in fast-paced environments, I specialize in rule coding and monitoring within investment compliance. My expertise lies in solving complex business issues while maintaining transparency and collaboration. With a diverse background in partnering with stakeholders from various cultures, I bring a unique perspective to compliance efforts, ensuring regulatory adherence and risk mitigation.
Languages
Marathi
Bilingual or Proficient (C2)
Hindi
Bilingual or Proficient (C2)
English
Bilingual or Proficient (C2)
Timeline
Sr Associate, Investment Compliance
BNY Mellon
04.2021 - Current
Associate/Sr Associate (AVP) Investment Compliance
JP Morgan Chase
10.2018 - 03.2021
Emerging Lead/Team Lead, Investment Compliance
State Street Corp.
07.2016 - 10.2018
Sr Analyst , Investment Compliance
BNY Mellon
12.2010 - 07.2016
Certification in Fintech And Blockchain - Fintech And Blockchain
IIM Calcutta
Bachelor of Business Administration - Accounting And Finance
Sant Gadge Baba Amravati University
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