Jagmohan Gawande

About Jagmohan Gawande

Investment banking Professional with 4.5 years of experience in investment/portfolio compliance, working on investment act 1940, UCITS rules and regulations, breaches/Violations monitoring.Applications – Charles River IMS, MIG, Bloomberg, Infuse.

Experience

1. Fund Compliance Analyst

   AllianceBernstein

   Nov 2024 — Present · Pune, IN

   Monitor and investigate daily compliance breaches received from custodians and internal systems. • Classify breaches as active or passive, escalate to Portfolio Managers (PMs), and obtain timely commentary. • Perform detailed breach analysis and calculations for active breaches; prepare commentary for passive breaches outstanding over 30 days. • Coordinate breach resolution and ensure proper closure in line with regulatory and internal policies. • Prepare compliance reports for various investment committees and support PM commentary with accurate data. • Review daily compliance reports covering counterparty exposure and concentration limits, escalating issues where required. • Produce and review trash reporting and illiquid asset reporting in accordance with fund guidelines. • Support Portfolio Manager requests for new index eligibility and ETF eligibility for UCITS funds. • Assess and approve index and ETF eligibility requests in line with UCITS regulations and internal compliance rules. • Act as a key liaison between Compliance, Portfolio Management, Custodian, and Internal Operations teams.

Education

• Sant Gadge Baba Amravati University, Amravati

  PG Diploma, Tax Law/Taxation

• Sant Gadge Baba Amravati University, Amravati

  Bachelor of Commerce - BCom, commerce

  2016 — 2019