Sajith Thomas Email & Phone Number

Boston, Massachusetts, United States

Greater Boston Area

• Currently the lead manager for following clients: American Century Investments, Wells Fargo, William Blair, Water Island Capital and Legg Permal.• Analyze compliance test results and ensure clients’ investment strategies to be in accordance with guidelines defined by the SEC and the Investment Act of 1940.• Verify accuracy of compliance violations and communicate potential threshold breaches to clients for corrective action.• Distribute compliance reports and ad hoc requests to… Show more • Currently the lead manager for following clients: American Century Investments, Wells Fargo, William Blair, Water Island Capital and Legg Permal.• Analyze compliance test results and ensure clients’ investment strategies to be in accordance with guidelines defined by the SEC and the Investment Act of 1940.• Verify accuracy of compliance violations and communicate potential threshold breaches to clients for corrective action.• Distribute compliance reports and ad hoc requests to clients and internal parties within deliverable deadline agreed upon.• Review Derivative reports and escalate issues to clients in an event when test results did not meet compliance standards.• Deliver IRC compliance package to State Street Tax Department on a quarterly basis.• Create appropriate templates for calculating compliance tests such as client’s Derivative and 2a-7 Money Market liquidity tests.• Ensure Commodity Futures Tradition Commission (CFTC) test results to be completed accordingly with regulatory standards and signed off for audit records.• Update senior managers periodically on issues that arise from Boston team and Joint Venture team in India. Show less

Greater Boston Area

• Prepared compliance summary report by computing, analyzing and verifying results based on guidelines defined by regulators such as IRC and SEC.• Generated segregation reports by valuating securities that required coverage and escalate threshold violations to managers.

Greater Boston Area

• Monitored and reconciled cash activities between State Street’s Custody and Accounting teams.• Analyzed accounting activities for fund accounts under 529 College Education Plan.

Bachelor Of Science (B.S.), Finance, General, 3.34 Gpa

3 Month Study Abroad Program, International Business