Mahendra Rathore.
- Role
- Director- Bl Risk at Ally Bank
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
Experience
Director- Bl Risk
Jan 2022 — Present
Regulatory Reporting & Compliance, Statutory reporting to FINRA & SEC, SEC Rule 605 & 606 Reporting, CAT CAIS Reporting, Corporate governance and Regulatory compliance, Relationship Management, Retail Broker-Dealers for NMS, OTC and Options, Business Process Reengineering, Risk Regulatory Reporting, Third Party /Vendors Relationship Management. Improving efficiencies, processes and systems, delivery quality through continuous improvement process. Best Execution, TRACE, TRF, LOPR (LTR & OCR) Reporting, Design, implement and maintenance of compliance policies & procedures, Supervisory Principal, Financial audits, internal audits and regulatory audits (FINRA & SEC), Drive financial results through strategy execution, growth opportunities and performance improvement, effectively address business line risks and controls deficiencies, drive performance and lead projects and innovative solutions. Broker/Dealer RIA trades and transaction reporting to regulators. Adept at system integration and cross-collaboration digital tools integration with the prevailing legacy system (API) and data mining processes to drive competitive advantages.
Education
Jawahar Lal Nehru University
Master's degree, Economics and Planning
1978 — 1981
The American College
"ChFC"- Certified Financial Planning Consultant, Finance and Financial Management Services, A
2012 — 2016
International Society of Training & Development
PG Diploma, Training & Development
1994 — 1995
Jai Narain Vyas University
B.A. (Honors), Economics & International Trade
1975 — 1978
Bharati Vidyapeeth
PG Diploma, Human Resources & Industrial Relations
1984 — 1985
College for Financial Planning
"CRPC"- Chartered Retirement Planning Counselor, REtirement Planning, Asset Managment, Estate Planning & Income Taxes, A
2015 — 2016
Jai Narain Vyas University
BA (Honors), Economics, A
1975 — 1978
Hotel and Catering International Management Association (HCIMA)
Diploma, Hotel/Motel Administration/Management, A
1984 — 1986
The American College of Financial Services
Chartered Life Underwriter (CLU), A
2018 — 2019
University of Rajasthan
M.B.A., Finance
1983 — 1986
Jawahar Lal Nehru University
M.A., Economics & Planning, B+
1978 — 1981
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