Kaushal Kamble
Consultant at ACA Group specializing in Code of ethics | Ex-Manager at Morgan Stanley| Ex - BNP Paribas|
- Role
- Consultant at ACA Group
- Location
- Thane, MH, IN
- LinkedIn followers
- 500 followers
About Kaushal Kamble
As a seasoned compliance professional with 11 years of experience, I have developed a…
Experience
Consultant
Sep 2023 — Present · Pune, IN
COE:· Assist in the reporting of personal securities accounts, holdings, and transactions via the EC module for COE clients.· Assist with the setup and maintenance of broker data feed connections·· Assist with the creation, distribution, and collection of employee certifications relating to gifts and entertainment, political contributions, outside business activities, and ad-hoc disclosures and attestations·· Monitor for new accounts available for direct feeds and gaps in aggregation feeds.· Assist with account statement review and the manual entry of transactional data into EC from statements. Review and recommend optimizations for existing personal trading workflows.· Supervise Analysts and provide guidance with respect to assignments, work quality, and development opportunities.Compliance & Regulatory Testing:· Supported execution of compliance program reviews for investment advisory clients under the Investment Advisers Act of1940 and other federal securities laws.· Conducted detailed testing and analysis of clients’ books and records to identify potential regulatory deficiencies and ensureadherence to compliance standards.· Utilized ACA’s proprietary RegTech tools to streamline and enhance the compliance testing process.· Reviewed and assessed regulatory compliance policies and procedures to ensure alignment with industry best practices.13F Fillings:Assisting firms in completing quarterly Form 13F filings mandated by the SEC for institutional investment managers with over $100M in assets. These reports detail all equity assets under management, adhering to United States Securities and Exchange Commission regulations.ENC Calls:Monitored live calls between experts and analysts to ensure compliance with firm policies, focusing on the prevention of sharing Material Non-Public Information (MNPI). I documented key points from each call and provided constructive feedback to ensure adherence to regulatory and internal guidelines.
Education
University of Mumbai
Bachelor's degree
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