Governance and Data Assurance Analyst

• Participated in quality programs to reduce overdue compliance activities.• Monitoring employee trade data to determine compliance with the Firm's personal account dealing policies and Location/Line of Business requirements.• Entering, reconciling and filing trade information, tracking of personal account dealing violations and issuance of violation notification.• Identification of potential violation/risk assessment and escalation of any PAD Policy violation to compliance… Show more • Participated in quality programs to reduce overdue compliance activities.• Monitoring employee trade data to determine compliance with the Firm's personal account dealing policies and Location/Line of Business requirements.• Entering, reconciling and filing trade information, tracking of personal account dealing violations and issuance of violation notification.• Identification of potential violation/risk assessment and escalation of any PAD Policy violation to compliance partners.• Ensuring pre-approval and holding periods are in place.• Review and monitor compliance with pre-approval documentation requirements and coordinate with individual staff members for fulfillment of regulatory requirements around trade disclosures. Show less

Role Description - • Resolved transaction issues and operated to provide efficient services.• Segregated product as per compliance code.• Handling Different General ledger across process to ensure application is compliant with guidelines across globe.

Shaw Associates Associate; Pune, India, From November’16 – June’17Maintaining- • quarter end cash flows of client• petty cash book• Quarter end Reconciliation of applied cash receipts.• Maintaining and preparing Cash flow statementsPosting- • Entries to general ledger, trial balance and balance sheet• Filing of various e-forms in relation with Companies Act, 2013 and Sales Tax. • Shop Act Registration.Drafting • Letters to government authorities… Show more Shaw Associates Associate; Pune, India, From November’16 – June’17Maintaining- • quarter end cash flows of client• petty cash book• Quarter end Reconciliation of applied cash receipts.• Maintaining and preparing Cash flow statementsPosting- • Entries to general ledger, trial balance and balance sheet• Filing of various e-forms in relation with Companies Act, 2013 and Sales Tax. • Shop Act Registration.Drafting • Letters to government authorities on behalf of clients.• Various legal documents like Agreements and replies to legal authorities. • Minute reports for client meetings, and Business’s agreements as required per client. Show less

Project Report on Budget and Budgetary Control of Hindustan Aeronautics LimitedDuration: - 4 WeeksWeeks Attended company for internship of four weeks and worked over creations of vouchers, bills, client reports, airport management excel sheets etc. Submitted comparative report of current budgeted policies and suggested budgeted policies in the project