Santosh Kumar Sahoo

Santosh Kumar Sahoo Email and Phone Number

Manager - Market Compliance Office @ Mindsprint
Chennai, TN, IN
Santosh Kumar Sahoo's Location
Chennai, Tamil Nadu, India, India
Santosh Kumar Sahoo's Contact Details

Santosh Kumar Sahoo work email

Santosh Kumar Sahoo personal email

n/a
About Santosh Kumar Sahoo

Santosh is a seasoned professional in the financial industry with over 14 years of experience. He holds a Master's Degree in Finance & Control and possesses multiple FINRA licenses, including Series 24, which qualifies him as a Registered Principal. Throughout his career, he has worked with prominent U.S. broker-dealers such as Cetera Financials, BNY Mellon, and First Allied Securities. His expertise lies primarily in Risk, Compliance and Surveillance, where he has demonstrated proficiency under the regulatory frameworks of FINRA, SEC, MSRB, and SIPC.Skills & Capabilities:>> Capital Markets & Broker-Dealer Operations>> Regulatory Compliance & Oversight>> Supervisory Surveillance & Reporting>> Review of PADs and Customer Complaints>> Complex Products Review & Suitability Analysis>> Internal Controls & Operational Risk Management>> Transaction Monitoring & Alert Management>> EComm. & Promotional Materials ReviewLicense & Certifications:>> Financial Risk Manager (FRM) Level I (GARP)>> Series 4 – Registered Options Principal>> Series 7 – General Securities Representative>> Series 24 – General Securities Principal>> Series 51 – Muni. Fund Securities Principal>> Series 63 – Uniform Securities Agent State Law>> Series 99 – Operations Professional>> NISM Series IIIA: Securities Intermediaries Compliance>> NCFM Module on Surveillance in Stock Exchanges>> NSE Certified Market Professional (NCFM)>> Certificate in Capital Markets Compliance (FCA)>> Internal Controls & Risk Management (FCA)>> AML Professional in Securities Market (NISM)>> Transaction Monitoring & STR (NISM)Email for Correspondence: santoshkumar.sahoo@hotmail.com(Note: Views & Posts are Personal)

Santosh Kumar Sahoo's Current Company Details
Mindsprint

Mindsprint

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Manager - Market Compliance Office
Chennai, TN, IN
Website:
mindsprint.com
Employees:
2833
Santosh Kumar Sahoo Work Experience Details
  • Mindsprint
    Manager - Market Compliance Office
    Mindsprint
    Chennai, Tn, In
  • Innreg
    Senior Consultant
    Innreg Sep 2024 - Present
    Florida, United States
    Regulatory Compliance | Securities Regulations | Supervisory Surveillance
  • Bny Pershing
    Specialist | Vice President
    Bny Pershing Nov 2022 - Aug 2024
    Chennai, Tamil Nadu, India
    General Securities Principal l New Accounts Approval | Wealth Solutions
  • Genpact
    Assistant Manager
    Genpact Jun 2013 - Nov 2022
    Hyderabad, Telangana, India
    Broker Dealer Operations | General Securities Principal | Surveillance
  • S&P Global
    Research Associate
    S&P Global Aug 2010 - Jun 2013
    Hyderabad, Telangana, India
    Financial Reporting | Financial Statement Analysis | Corporate Performance Review

Santosh Kumar Sahoo Skills

Suitability Analysis Financial Advisory International Economics Supervision Portfolio Management General Securities Principal Regulatory Compliance Capital Markets Investment Banking

Santosh Kumar Sahoo Education Details

Frequently Asked Questions about Santosh Kumar Sahoo

What company does Santosh Kumar Sahoo work for?

Santosh Kumar Sahoo works for Mindsprint

What is Santosh Kumar Sahoo's role at the current company?

Santosh Kumar Sahoo's current role is Manager - Market Compliance Office.

What is Santosh Kumar Sahoo's email address?

Santosh Kumar Sahoo's email address is mf****@****ahoo.in

What schools did Santosh Kumar Sahoo attend?

Santosh Kumar Sahoo attended Indian Institute Of Management Visakhapatnam, Utkal University, Indira Gandhi National Open University, Utkal University.

What are some of Santosh Kumar Sahoo's interests?

Santosh Kumar Sahoo has interest in Social Services, Economic Empowerment, Civil Rights And Social Action, Education, Environment, Poverty Alleviation, Human Rights, Arts And Culture.

What skills is Santosh Kumar Sahoo known for?

Santosh Kumar Sahoo has skills like Suitability Analysis, Financial Advisory, International Economics, Supervision, Portfolio Management, General Securities Principal, Regulatory Compliance, Capital Markets, Investment Banking.

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