Open to opportunities

Kumar Ritesh

@kumarritesh

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Experienced finance professional specializing in investment compliance and risk management.

India

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What I'm looking for

I am looking for a role that offers growth opportunities and a collaborative work environment.

I am a finance professional with over 10 years of experience in investment compliance and risk management. My journey has taken me through various roles where I have honed my skills in coding and monitoring investment guidelines, ensuring adherence to regulatory standards, and managing compliance processes across multiple regions including APAC, UK, Europe, and Canada.

Currently, I serve as a Senior Manager at Fidelity International, where I lead a team in coding, testing, and implementing compliance rules derived from client guidelines and regulatory restrictions. My proactive approach has led to the successful design and implementation of rule coding transitions, enhancing operational efficiency and compliance accuracy. I am passionate about fostering team growth and ensuring that internal controls are robust and effective.

Throughout my career, I have developed a strong foundation in tools such as Charles River, Aladdin, and SQL, which have been instrumental in my ability to monitor compliance alerts and provide actionable insights to stakeholders. I am committed to continuous improvement and actively seek opportunities to enhance processes and contribute to the overall success of my organization.

Experience

Work history, roles, and key accomplishments

Current

Sr. Manager

Current

Fidelity International

Aug 2022 - Present (2 years 10 months)

Coded, tested, and implemented compliance rules from client guidelines, regulatory restrictions, and internal mandates in Charles River (CRIMS). Managed and supervised a team of eight FTE, leading communications across all stakeholders.

Charles River (CRIMS)Compliance Regulatory Team Management Internal Audit Portfolio Management

Compliance Lead

Ameriprise India LLP

Sep 2019 - Present (5 years 9 months)

Reviewed IMA, Prospectus & client guidelines to extract compliance restrictions and coded, tested, and implemented rules in Aladdin. Monitored pre and post-trade alerts for UCITS, 40'Act, and Prospectus Rules, advising Front Office on breaches.

Aladdin 40'Act Prospectus Rules Equities Derivatives SOP Development

Associate 2

State Street Corporate Services

Nov 2018 - Present (6 years 7 months)

Monitored and reported compliance alerts and warnings for 40'Act, IRC, and Prospectus Rules on Mig 21. Assisted the Global Team with rule coding for various financial products and performed manual monitoring for specific rules.

Mig 21 40'Act Prospectus Rules Rule Coding Equities Derivatives

Sr. Associate

WNS Global Services

Nov 2017 - Present (7 years 7 months)

Monitored post-trade alerts for UCITS and Prospectus Rules on BRS Aladdin and JPM Track systems. Assisted Portfolio Managers with queries related to various financial products and reported valid breaches.

JPM Track Prospectus Rules Equities Derivatives Rule Coding Compliance Workbench

Finance Intern

The Money Roller

Apr 2016 - Present (9 years 2 months)

Gained practical experience in finance, contributing to various financial tasks and projects. Developed an understanding of financial markets and investment strategies.

Financial Analysis Investment Strategies Market Research Data Analysis Financial Modeling

Market Research Intern

Drshti Strategic Research Services

Aug 2015 - Present (9 years 10 months)

Conducted market research activities, gathering and analyzing data to support strategic initiatives. Assisted in report preparation and presentation of findings.

Market Research Data Collection Data Analysis Report Preparation Strategic Planning

Controller

Cades Studec Technologies India

May 2011 - Present (14 years 1 month)

Prepared Excel-backed data with dynamic business interfaces and worked on Oracle Relational Database Management Systems. Involved in all phases of the DDLC, creating and maintaining client-based research reports.

Excel Content Development Reports Project Management CAPA Training

Education

Degrees, certifications, and relevant coursework

VCU and CUIM, Christ University

MS and MBA, Finance

Grade: GPA: 3.7/4 and 7.61/10

Completed a dual Master of Science and Master of Business Administration in Finance. Achieved a GPA of 3.7/4 and 7.61/10, demonstrating strong academic performance in financial studies.