RUTIKA TANDALE

• Responsible for supporting all aspects of the registration and licensing processes to ensure that the regulatory requirements for the Firm and its registered employees are compliant.
• Analysing, filing, maintaining and updating qualification and employment for all prospective and current employees.
• Perform periodic review and analysis of departmental process, procedures, and policies.
• Provide advice and training to employees regarding licensing, examination requirements and continuous professional training matters.
• Conduct interviews and train new hires across multiple functions.
• Part of the supervisory checks wherein the Quality checks was carried out on a monthly basis for the team.
• Provide Monthly Information to the onshore team.

• Detect and review possible suspicious activities and conduct issues of front office employees on the basis of keywords and escalate accordingly to regional Controls team
• Identify possible front running, wash trade, insider trading, and customer complaints through system-generated alerts
• Work with the team to produce sensible MI over the reviewed emails, identifying trends and coming up with recommendations to curb the false positives
• Prepare daily, weekly, and monthly reporting
• Assisting the GM Governance framework with escalation of key risks to senior management
• Liaising with Shared services team (Operational Risk management, Legal, Compliance, etc.) as per project requirements.

• Identifying any noncompliant or suspicious activity and escalating questionable communications within the system
• Providing backdated data for special surveillance either as a request for the firm's policy testing or in case of any requests from the regulator
• Remaining updated on developments and changes concerning relevant policies and regulations
• Analyzing and updating keywords/criteria for enhancing surveillance
• Preparing MIS and other periodic reports to be sent out to senior management
• Updating/Preparing SOP and process-related documents in a timely manner.

Key Achievements

• Worked during the testing phase of voice surveillance and provided with the observations to improve the tool or simplify the process for the team.
• Involved in testing of the Stride application which was launched as part of the FinTech initiative & in the testing of applications for DataMinder replacement.
• Recommended certain keywords to be added to the tool for better results which were analyzed and implemented.

• Work on various tasks assigned by S&P like backfilling examination reports in RADAR, re-structuring and organizing files.
• Work on live real-time compliance examination entry into RADAR enabling counterparts in NY to achieve targeted deadlines during crunch situations.
• Work on the AML-KYC project- Monitoring, research, and surveillance of existing and new clients to assess the risk profile for the APAC Compliance Team
• Work very closely with the clients in New York & APAC to discuss and close the issues in the process.

Key Achievements

• Worked on setting up the Compliance Operations team which was the Initial set up by GAC to support the S&P Compliance function.
• Was a key member of the team to understand the requirements for setting up the team from the onshore and meeting these requirements.
• Handled a very critical case of AML by staying updated with the market news and providing with the comments to the onshore team.

• Perform File review Audits of the Global rating actions.
• Provide detailed coverage status reports on the File reviews performed on monthly basis.
• Provide support to S&P’s Internal Controls Group (ICG).
• Run the Quality reports where ICG conducts reporting exercise on prior month’s file review results and prepare the charts which includes details like file review assessments, exceptions by issue type & exceptions by policy.
• Work on the Corrective actions process which involves reviewing and closing the exceptions logged during the File reviews.
• Work very closely with clients based in New York and London to cover the issues regarding the File reviews process.