Pavan R. Rajput

About Pavan R. Rajput

I am currently employed at State Street Pvt. Ltd. in the Compliance…

Experience

1. Sr Associate

   State Street

   Apr 2025 — Present · Pune, IN

   Ensured compliance with client investment guidelines and regulatory requirements, including the Investment Company Act of 1940 and SEC regulations, for U.S. and Canadian (Toronto-based) clients.• Led the onboarding process for new clients by analyzing investment mandates, extracting compliance rules, and developing tailored compliance rule matrices.• Executed daily and monthly compliance monitoring tasks using dashboard tools, including NAV verification, alert monitoring, and breach reporting.• Conducted portfolio transaction reviews to ensure adherence to investment restrictions, promptly identifying and escalating breaches for resolution.• Collaborated with cross-functional teams, including Data and Reporting, to resolve data discrepancies from sources such as Bloomberg and MCH, utilizing JIRA for issue tracking and resolution.• Applied expertise in the Charles River Development (CRD) platform to support post-trade compliance, enhancing operational accuracy and efficiency.• Responded to ad-hoc compliance reporting queries, interpreting complex investment guidelines across equity and fixed-income securities.• Maintained open communication with clients, addressing concerns swiftly and escalating critical issues when necessary.• Stayed current with regulatory developments and industry trends, contributing to process improvements and best practices in compliance operations.

Education

• ASM Group of Institutes

  Master of Business Administration - MBA

  2016 — 2018

• R. C. Patel Institute of Technology, Shirpur

  Bachelor of Business Administration - BBA

  2013 — 2016