Tanvi Thacker Email & Phone Number

Santa Clara, California, United States

Santa Clara, California, United States

Santa Clara, California, United States

San Francisco, Ca

 Assisted CCO with the oversight of Investment Advisory compliance program for the registered investment advisers. Managed the regulatory filings for the department, including the Form ADV, 13F, 13G and 13H.  Responsible for updating Compliance procedural manuals and other core documents on an ongoing basis by conducting research on rules and regulations and developing knowledge of Investment Advisers Act of 1940 Designed, developed and supervised the Compliance Calendar. Organize projects and responsible for keeping things on-track.  Responsible for due-diligence oversight of Subadvisers, Robo-advisor and Model Managers. Developed and conducted due-diligence on third party advisers, and escalated red flags to CCO and related business units.  Assisted with developing Compliance Training Materials and Presentations, Quarterly internal Compliance Newsletter and performed general compliance tasks and ad-hoc projects, physical/electronic file maintenance, gathering and managing data for enterprise reporting etc.  Performed tasks related to annual compliance reviews, regulatory compliance risk assessment, compliance audits etc. as requested by CCO.

Palo Alto, California

 Oversee the Investment Advisory, BSA/ AML regulatory compliance program for the registered investment advisers and assisted the CCO with the oversight of the compliance program and due-diligence. Reviewed, Developed, and Updated various reports and compliance training and also performed analysis of information to identify potential reputation or regulatory risks and opportunities Assisted with periodic compliance testing and compliance audits; created and maintained various compliance reports for compliance analysis; participated in special projects and ad hoc report development activities Monitored compliance with firm’s Code of ethics policy and personal trade monitoring by maintaining all employee’s trading account records and electronic feeds and annual compliance calendar. Successfully created, processed and retained all employee’s initial, quarterly and annually compliance certifications and attestations Reviewed and improved internal marketing materials and disclosures; researched regulatory information; provided updates and assisted with developing compliance policies and procedures as necessary.

San Jose, Ca

 Conducted detailed due diligence for various client portfolios and prepared in-depth investment memorandum, customized client reports and presentations for all levels of management and clients.  Performed financial reporting, financial statement forecasts, variance and budget analysis and produced reporting packages of various investment opportunities using SharePoint ERP tool and excel modelling tools. Assisted in firm’s Business Development activities by interviewing CEOs, generating new revenue base and managing clients

United States

 Formulated asset allocation strategies and designed tool for providing financial planning services to clients using data driven research methodology and financial metrics. Prepared Federal, State and Local tax returns for individual, partnership and corporate firms. Performed accounting and bookkeeping functions including accounts payable and accounts receivable payroll and check generation using QuickBooks Pro complying with US GAAP (Generally Accepted Accounting Principles) Assisted Senior Management in dealing with tax compliance issues for companies and individuals and analysis of new tax laws and proposed legislation.

Vapi, Gujarat, India

 Worked with a large heterogeneous group of students as a sole instructor and researcher for the MBA Finance and accounting specialization courses.  Participated in finance research projects by preparing financial reports using SAS Financial Management tool, analyzing financial statements, identifying industry trends and variances, developing forecasts and reviewing monthly budgets and revenues. Assisted in business development activities by organizing various promotional workshops, educational seminars, training, introducing new business initiatives and developing client presentations.

Vapi, Gujarat, India

 Provided financial and credit services to customers, including consumer checking/ savings accounts, home equity loans, personal loans and other financial products and services to businesses and individual clients.  Built and managed solid client relationships, communicated with other bank division personnel to effectively resolve any client issues. Consistently exceeded production goals for new loans and deposits. Built book of clients from zero base and managed top quality loan, investment and deposit portfolio.

Vapi, Gujarat, India

--Performed extensive technical and industry analysis and reporting for companies in the sectors of pharmaceutical sector, FMCG and banking sector using advanced excel skills like charts, macros, pivot tables etc.--Supported senior Portfolio Managers with buy and sell ideas as well as news and opinions for various stocks in equity market with the help of Financial analysis, Forecasting, Financial reports and Data Analysis --Researched and compiled data on securities by preparing detailed reports in order to investigate their volatility and average return trends using various quantitative tools and also created reports for investing pattern in equity market.

Vapi, Gujarat, India

--Supported in tracking and reviewing sales and revenues by producing forecasts and trend analysis on an on-going basis with financial models, financial analysis and financial reporting--Assisted in analyzing and interpreting monthly variances and trends between budgets and actual and efficiently implementing MS Office Suite including Word, PowerPoint and Advanced Excel skills in project work--Performed comprehensive evaluations of various foreign financial transactions to foresee significant industry trends and worked on managing foreign exchange exposure of the company.

Certificate In Finance, Corporate Finance And Capital Market, A

Certification, Financial Planning/ Project Management, A

The Project and Program Management Certificate Program create value by focusing on execution and process efficiency,amplifying.

Master Of Business Administration (Mba), Finance, General, A

Bachelor Of Applied Science (B.A.Sc.), Medical Technology, A

Higher Secondary, Science, A

Activities and Societies: Debate Team, Cultural programs team, General Knowledge Quiz Team