Pratik Patil

About Pratik Patil

I am a Compliance Analyst with experience supporting regulatory compliance programs for…

Experience

1. Compliance Analyst

   ACA Group

   May 2025 — Present

   Conduct risk-based compliance testing for SEC-registered investment advisers under Rule 206(4)-7 by reviewing Compliance Manuals, Form ADV disclosures, policies, and supporting documentation.• Assess internal compliance controls across key regulatory areas including Compliance Programs, Code of Ethics, Personal Trading Monitoring, Political Contributions, Marketing & Communications, and Employee Certifications.• Prepare regulator-ready testing documentation and findings, ensuring evidence sufficiency and alignment with SEC regulatory expectations.• Support Code of Ethics and personal securities trading compliance monitoring, reviewing employee certifications, trading disclosures, and exception reports using ComplianceAlpha®.• Review marketing materials, websites, and social media communications to assess compliance with SEC Marketing Rule (Rule 206(4)-1).• Conduct third-party service provider due diligence testing, reviewing vendor oversight frameworks, cybersecurity controls, and business continuity documentation.• Identify compliance risks and control gaps, escalating findings and supporting remediation tracking.• Collaborate with U.S. consultants and global stakeholders to deliver multiple compliance reviews within strict regulatory timelines.• Train and mentor new hires on ComplianceAlpha workflows, testing methodologies, and documentation standards.