Dillip Kumar Behera Email & Phone Number

Mumbai, Mh, In

Mumbai, Maharashtra, India

Gurugram, Haryana, India

Supervised a team tasked with ensuring and was responsible for preparing periodic board reporting documents for the director/trustees of a large fund complex, sub-advised reporting documents for sub-advised clients. In addition, various ad hoc projects in reaction to, and anticipation of, industry trends, SEC guidance and best practices.Overall Responsibilities:◆ Analyzing transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters◆ Researching and addressing inquiries related to investment guidelines from the Trade Floor and other internal/external parties.◆ Identify areas of risk and assess business impact before implementing enhancements to reduce compliance vulnerabilities.◆ Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.◆ Interact with members of regional compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing, and related controlSelected Achievements:◆ Worked with Risk and Technology teams to migrate manual breach reporting and certification process onto a automated reporting tool solution. Process decreased reliance on email to gather reportable breaches and removed the need to manually track each post-trade breach. The automation allowed for delivering accurate reports in a shorter amount of time and removed the need of several man hours spent on manual data entry.◆Enhanced overall onboarding process and stakeholder relationships which was key in retaining existing clientele and reinforcing our best-in-class reputation.◆ Instrumental in process enhancement of post-trade breach reporting and certification process to provide most accurate and timely delivery of reports to stakeholders, regulators and clients.

Gurugram, Haryana, India

Led the Global Syndicated Trade Approvals group in India that was responsible for pre-clearing participation in time-sensitive IPOs, New Issuances and participation in corporate action events for a variety of product offerings (equity, fixed income, municipal, structured products, sovereign, treasury). Overall Responsibilities◆ Strong knowledge of U.S. and U.K. regulatory framework for banking and securities institutions, with an overall understanding of regulations relating to retail brokerage, investment adviser, alternative investments and other complex financial products and/or consumer banking related requirements.◆ Leading compliance duties and desk coverage officers across all fixed income products - handling all advisory functions on the firms' policies and procedures◆ Knowledge of the Investment Advisers Act and FINRA rules governing marketing of advisory services and products and relevant rules under the Investment Company Act of 1940.◆ Resolved issues resulting from variances and failed trades; engaged with brokers to ensure settlement of trades and on-time delivery of securities.◆ Managed multiple projects simultaneously with minimal supervision.◆ Cultivated and maintained relationships with clients, custodians, brokers, and other internal resources. Recognized for fostering environment in which ideas were shared and communication was success driver.◆ Served as a liaison between clients and upper management◆ Contribute to the design, preparation, and analysis of presentations, reports, and findings in a clear, logical, and concise manner◆ Experience with risk management and control concepts and ability to identify risk, evaluate impact, and provide mitigation suggestionsSelected Achievements:◆ Trained teams in London, Singapore, Tokyo and Gurgaon (India) to help with front-end and back-end monitoring processes.◆ Led various process transitions and migration to build team and process efficiency.

Gurugram, Haryana, India

Portfolio Compliance and Regulatory compliance◆ Formulated financial scripts and validate tests to ensure the accuracy of the coding of investment guidelines and regulatory rules prior to implementation into the Aladdin System◆ Reviewing investment restrictions in proposed new account documentation and guideline amendment language to ensure ability to code the compliance system as well as clarify intent, if needed◆ Assisting business in addressing identified compliance issues, interacting with internal regulatory control authorities, and responding to inquiries, investigations and other regulatory actions◆ Reviewing and resolving pre-trade and post-trade compliance exceptions generated via the Aladdin order management system (OMS)◆ Reviewing new offerings related red herring, supplement, amendment, agreement, offering circular, pricing term sheet,final prospectus to ensure investment activity is in compliance with relevant laws and regulations, internal investment procedures and investment policies/guidelines ◆ Collecting securities related data of Initial Public Offerings (IPOs), Secondary Public Offerings (SPOs) from different database and analyzing their suitability requirements with applicable laws and regulations ◆ Investigating and troubleshooting potential impact in trading of primary and secondary market securities in managing operational, financial and technology risk ◆ Analyzing financial statements and annual reports of various companies in determining securities related activities◆ Providing Quality Assurance Testing (QAT) of investment guideline restrictions, UCITS, ERISA regulation, and U.S. Investment Companies Act of 1940 restriction prior to implementation into Aladdin◆ Preparing monthly and quarterly compliance certifications and Board of Directors reports for BlackRock institutional and sub-advised clients◆ Assist with reporting and document production related to regulatory filings and reviews

Gurugram, Haryana, India

Investment Strategies and Portfolio Management• Detailed study of various investment instruments, portfolios, comparison of the schemes and services of Standard Chartered Bank with other private sector banks.• Conducted a Market Research and analyzed the investment strategies of the consumers.

Bachelor Of Laws - Llb, Law Course

Mba

M.Sc., Genetics

Thesis title: Genetic variability and correlation analysis for yield and yield contributing traits in mutant lines of Groundnut