PRAVEEN KURUP
Compliance Associate
Thane
Summary
Developed strong collaborative and multitasking skills in fast-paced environment, ensuring efficient handling of various tasks. Transitioning into new field with focus on leveraging problem-solving capabilities and adaptability. Seeking opportunities to apply and grow versatile skills in dynamic and supportive setting.
Overview
9
9
years of professional experience
8053
8053
years of post-secondary education
5
5
Certifications
3
3
Languages
Work History
Associate
Ares Operations India
03.2021 - 05.2024
- Monitoring MNPI Access: Regularly reported to management when traders accessed material non-public information (MNPI) before executing trades.
- Maintaining Restricted List: Implemented restrictions on private companies for which Ares possesses MNPI.
- Order Modification Records: Maintained detailed records of reasons for modifying orders in the Everest Order Management System (OMS), providing evidence for any adjustments made.
- Cross-Trade Oversight: Recorded cross-trades between clients for audit and regulatory purposes.
- Conflict Checks: Conducted conflict checks for new deals to ensure compliance.
- Issuer Data Cleanup: Removed duplicate issuers from the OMS database.
- Quality Assurance: Performed rigorous quality checks on processes and data.
- Process Automation: Developed an automated solution that saved approximately 2 hours of manual work.
- Efficiency Enhancement: Created a formula sheet that reduced task completion time by 3 hours.
- Data Visualization: Designed a Power BI project to visualize volume data across different Ares units.
- Deal Pipeline Management: Maintained an up-to-date list of deals in the pipeline.
- Employee Trade Clearance: Efficiently processed trade requests for securities submitted by employees.
- Auto-Approval List: Maintained an up-to-date list of securities approved by Star Compliance for automatic processing.
Associate
Tranparent Value Pvt LTD – a Guggenheim Partners Company
05.2018 - 03.2021
- Blackrock Aladdin : Experience in working on blackrock aladdin.
- Restricted List Management: Regularly reconciled and updated the restricted list, ensuring compliance with regulatory requirements.
- Client Reporting: Prepared timely client reports as per specified periods, demonstrating attention to detail and accuracy.
- Investment Rules Review: Conducted thorough reviews of investment rules to ensure alignment with guidelines and industry standards.
- Post-Trade Compliance Breaches: Addressed post-trade compliance breaches for various client mandates, analyzing causes and implementing corrective actions.
- Breach Issuance and Resolution: Collaborated with account managers and portfolio managers to issue breach notifications and warnings, tracking resolution progress on the dashboard.
- Guideline Adherence: Diligently analyzed and enforced client guidelines, ensuring consistent implementation.
- Star Compliance Updates: Regularly updated security transactions within the Star Compliance system, ensuring accuracy and compliance.
- Brokerage Statement Upload: Efficiently uploaded brokerage statements to the Star Compliance platform.
Senior Associate
Oracle (OFSS) Processing Services Limited
07.2015 - 05.2018
- Blackrock Aladdin : Experience in working on blackrock aladdin.
- Breaches Investigation: Diligently addressed post-trade compliance breaches across various client mandates.
- Risk Identification: Assisted in identifying actual or potential breaches, ensuring proactive risk management.
- Breach Issuance and Analysis: Collaborated with account managers and portfolio managers daily to issue breach notifications and warnings. Conducted cause analysis and followed up until resolution on the dashboard.
- Error Isolation and Corrective Actions: Isolated errors at security and portfolio levels, communicating corrective actions to portfolio managers. Ensured compliance with investor guidelines.
- Guideline Adherence: Analyzed and meticulously ensured the implementation of client guidelines.
- Portfolio Testing: Conducted daily manual tests on portfolios and other reports, reporting compliance breaches via dashboards.
- Client Certification: Prepared client certifications as required.
- Recipient: Awarded “Star of the Month” twice for outstanding performance.
- Consistent Excellence: Maintained a consistent quality score of 10/10, surpassing team members throughout most months.
Education
CFA Level 1 -
CFA Institute
T.Y.BFM (BCom Financial Market) -
Mumbai
H.S.C -
Maharashtra
S.S.C -
Maharashtra
Skills
- Power BI
- SQL
- Bloomberg
- Blackrock Aladdin
- Everest OMS
- Excel
- Powerpoint
Certification
Microsoft Power BI Course by Tutorialpoint
Accomplishments
- Awarded a certificate for securing the Second Rank in FYBFM.
- Awarded a certificate for securing the First Rank in SYBFM.
Personal Information
- Date of Birth: 05/05/93
- Gender: Male
- Nationality: Indian
- Marital Status: Single
Timeline
Associate
Ares Operations India
03.2021 - 05.2024
Associate
Tranparent Value Pvt LTD – a Guggenheim Partners Company
05.2018 - 03.2021
Senior Associate
Oracle (OFSS) Processing Services Limited
07.2015 - 05.2018
CFA Level 1 -
CFA Institute
T.Y.BFM (BCom Financial Market) -
Mumbai
H.S.C -
Maharashtra
S.S.C -
Maharashtra
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