Sandeep Pulla

About Sandeep Pulla

Results-driven Compliance and Operations Specialist with 7.5 years of experience in…

Experience

1. Senior Analyst

   Nomura

   Aug 2023 — Present · Mumbai, IN

   Primary point of contact for Licensing & Registration matters for FOS (GM, Research, IBD & WMD) staffs in Hong Kong, Singapore, Malaysia & India. Advisory on licensing related matters to business & individuals, liaise with them & assess the license requirements & conduct documents due diligence & the license preparation.[?] Assist in preparing responses to the Hong Kong Securities & Futures Commission\'s (SC) enquires pertaining to SFC license application.[?]Draft submission guidelines for licensed employees\' notification to SC & Monetary Authority of Singapore (MAS) on reportable changes to profile information & advice licensees on the submission of their regulatory[?] Annual Returns with respect to their SC & MAS license. Track license examination & the cessation of licenses[?] Manage cross border registrations (15a6,Swap Dealer Associated Persons Registrations, Over the Counter Derivatives Dealer) for GM staffs[?] Manage & oversee the licensees\' Continuous Professional Training (CT), ensuring timely completion, respond to licensees\' CPT enquiries including the review of training courses for CPT eligibility. Contribute & assist the build of the Company\'s CPT database for Hong Kong [?] Support Asia ex-Japan (AEJ) region in updating Compliance policies, procedures, guidelines, & forms for posting on the Company\'s intranet. Assist the AEJ region in drafting & launching Compliance Alerts & review & update policies of any regulatory changes.[?] Responsible for complete administration of computer-based trainings rolled out across AEJ region.

Education

• Sailee International school and Jr college of Commerce

  HSC

• University of Mumbai

  Bachelor of commerce

  2014 — 2017

• University of Mumbai

  Master's in Commerce

  2017 — 2019