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SN@saj_n
Finance Compliance Professional, 10+ Years in Investment Banking (Goldman Sachs, Morgan Stanley)
United KingdomSeeking to enhance the Compliance or Risk Management function at a company dedicated to growth in the financial sector. My 10+ years experience involves expert Project Management skills, being a Training Lead and highly-competent Technical Writer on Finance & Crypto. I am eager to also offer these skills to boost your company's growth potential.
Experienced Compliance Professional with 10 years experience at Top Investment Banks such as Goldman Sachs, Morgan Stanley and HSBC. Provided Regulatory Compliance Advisory guidance to senior stakeholders in Sales & Trading across these asset classes: Credit, Commodities, Emerging Markets, Foreign Exchange, Rates and Digital Assets (e.g. Crypto, Bitcoin ETFs). Conscientious collaborator who has worked with global teams to manage new business growth projects. Highly effective communicator who has led training sessions for 100+ traders on complex financial regulatory topics and written company policies. A LSE Graduate, who is a fast learner with a consistent track-record of swiftly developing new skills and knowledge with CISI Qualifications on Regulations, Securities and Derivatives. Worked at the Analyst, Associate and Director level as a Compliance Officer.
Seeking to enhance the Compliance or Risk Management function at a company dedicated to growth in the financial sector. My 10+ years experience involves expert Project Management skills, being a Training Lead and highly-competent Technical Writer on Finance & Crypto. I am eager to also offer these skills to boost your company's growth potential.
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Work history, roles, and key accomplishments
Morgan Stanley
Jul 2019 - Present (6 years 4 months)
• Primary contact for Sales & Trading on regulatory compliance queries on: Foreign Exchange, Emerging Markets, Structured Rates and Commodities.
• Leading a regulatory review project regarding trading Digital Assets (Bitcoin & Ethereum) and their associated ETFs.
GSGoldman Sachs
Mar 2016 - May 2019 (3 years 2 months)
• Primary contact for day-to-day live business queries from Salesperson and Traders regarding: Credit, Rates, Mortgages, Structured Products, Leveraged Finance and Emerging Markets.
• Project Lead for MiFID 2 and Brexit Global Working Groups, which involved updating policies and leading live training sessions for 100+ employees.
HSHSBC
Aug 2013 - Jan 2016 (2 years 5 months)
Identified compliance risks, liaised with senior global management to keep them up-to-date with the latest regulation and built new processes to ensure the bank meets financial regulatory requirements.
Published a thorough analytical report on Bitcoin and the associated money laundering risks.
HSHSBC
Jun 2012 - Aug 2012 (2 months)
• Working as part of the Compliance Monitoring teams in Sales & Trading, Investment Banking and Asset Management on topics such as Equity Market Soundings, FX Options, Bonds, Rates and Trade Reporting etc.
• Researching regulation, implementing testing methods, drafting technical reports and remediating identified issues.
MAMarkit
Jun 2011 - Sep 2011 (3 months)
Dividend forecasting, analyzing company financial statements, expanding business coverage to Emerging Markets.
Aaron Tax Accountants
Sep 2008 - Sep 2008 (0 months)
Forecasting cash flow, business growth planning, preparing tax returns in accordance with tax regulation.
Lambeth Council Treasury Department,
Aug 2008 - Aug 2008 (0 months)
Researching investments, fund management and balance sheet budgeting.
Degrees, certifications, and relevant coursework
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