Vikas Sharma Email & Phone Number

Dallas, Tx, Us

New York, Ny, Us

Regulatory compliance outsourced Chief Compliance Officer (CCO), Deputy CCO and consultant providing governance, risk and compliance services for SEC registered investment advisors (RIA), investment companies and separately managed accounts (SMAs). CCO for investment adviser and investment company. Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Product expertise in fixed income, private equity, real estate, credit, BDCs, CLOs, and alternative assets.

Larkspur, California, Us

Leading Compliance throughout the organization along with the CCO; Responsible for Investment Advisers Act, CFTC/NFA, and Bermuda Compliance ; Working on 10(b)(5) and other insider trading laws and regulation; Drafted and updated Firm Compliance manuals and standalone policies; Working on NFA and SEC examinations preparation; Conducting firm-wide 206(4)-7 reviews; Responsible for US and foreign marketing rules and Investor Relations; Worked on Anti-money-laundering (AML) regulations for BMA Compliance; Responsible for Code of Ethics and personal trading compliance; Managed Form ADV, Form PF, AIFMD, CPO-PQR, Form D, and Blue Sky Filings.

Responsible for Compliance consulting for SEC and state registered investment advisors.Create, implement and monitor end to end compliance programs for Securities and Exchange Commission registered investment advisors.Responsible for maintaining Investment Advisers Act of 1940 rules and regulations for multiple clients.Manage client relationships with a variety of investment advisors including hedge fund managers, traditional asset managers, fixed income managers, and Internet advisors.Managing clients’ responses to Securities and Exchange Commission deficiency letters and preparing for Securities and Exchange Commission exams.

Dallas, Texas, Us

Responsible for Compliance efforts of the firm globally in areas of Code of Ethics, Conflicts of Interest and Anti- Corruption. Member of Compliance Leadership Committee Led SEC and NFA examinations and follow up for deficiency letters.Set up Control Room and information barriers for Hudson’s third party businessResponsible for employee Compliance for 900 employees spread across Americas, EU and Asia. This included Compliance induction, implementing personal trading policies, broker account monitoring, employee affirmations and dealing with Compliance violations.Responsible for Market Abuse, Watch-list and MNPI process. Work with external firms for processing sensitive information for deals.Lead conflicts of interest, gifts and entertainment monitoring, outside business activity and political activity policy. Lead firm’s effort of Compliance training and FCPA monitoring globally.Involved in revision of Compliance manual and new regulatory updates. Lead Broker Dealer initiative for Hudson Advisors to expand third party business. Extensive knowledge of Investment Advisors and Investment Companies Act of 1940.Involved in marketing reviews which included pitch books, DDQ and all investor communication. Exposure to AML/KYC process for investorsInvolved in regulatory filings- ADV, Form PF, Form 13F and 13H, CPO/CTA filings and state lobbyist registrations

Responsible for SEC Compliance for Manager, one public Business Development Company (BDC) and five private funds. Managed all Compliance filings and policies for the firm. Managed email monitoring using Smarsh and trading accounts monitoring using Compliance Science. Assist the marketing teams with information utilized in fund-raising efforts. Managed a third party financing facility for the BDC by monitoring collateral performance, concentration limits, and collateral quality tests. Oversee the portfolio management and reporting for the management company. Responsible for valuation for BDC and Private Fund portfolio companies.  Lead SEC Compliance efforts of the firm including email monitoring, trading accounts monitoring, restricted list, risk assessment, conflicts, gifts and entertainment, political contribution, allocation of fund expenses and compliance calendar. Initiated and led the Compliance effort of the firm after spin out from D.E. Shaw. Responsible for timely completion of form ADV, form PF and other employee attestations. Working on implementing new policies on key SEC initiatives like Cybersecurity, allocation of expenses, internal control of funds and funds marketing. Help with accounting and financial reporting function including all public filings, private investor communications, and Limited Partner capital statements. Leading budgeting for the manager and analyzing financial statements of 35 portfolio companies. Responsible for valuation of Portfolio Companies in Credit Strategy. Prepare and maintain valuation models for all portfolio companies quarterly. Coordinate with valuation consultant and auditors for valuation.

New York, Ny, Us

Highly accomplished investment portfolio and business operations professional with extensive experience and proven success contributing to domestic and international capital management, leveraging negotiations, and preparing budgets for special projects. History of holding high-level of senior management trust while spearheading operating structures, investment processes, reporting, and financial structures. Lead and direct staff across multi-departmental or multi-cultural project teams, including launching offshore investment team. Ensure corporate goals are clearly defined and monitor progress toward achieving project objectives. Involved in Compliance operations and reporting for the Direct Capital division.

New York, Ny, Us

Dedicated offshore analyst for JP Morgan investment banking team in NY. Worked with Chemicals and Metals & Mining Investment Banking teams. Provided high quality research support to the onshore team by delivering pitch books, financial models and industry/ company research reports.

Chennai, Tamil Nadu, In

Business analyst for Banking and Financial Services Vertical. Worked on SOX implementation product.

Master Of Business Administration (M.B.A.), Finance, General

Education record

Bachelor'S Degree, Accounting And Finance