Sunil Khatokar
Senior Vice President - Compliance Regulatory Practice, Research, Control Room & Employee Compliance Group
- Role
- Senior Vice President - Regulatory Practice Group & Compliance Employee Services at Goldman Sachs
- Location
- Bengaluru, IN
- LinkedIn followers
- 500 followers
Experience
Senior Vice President - Regulatory Practice Group & Compliance Employee Services
Jul 2006 — Present · Bangalore, IN
Regulatory Practice Group - Investigate and provide responses to complex regulatory inquiries and audit requests from regulators (SEC, FINRA, CBOE etc.) relating to Equity Trading, Option Transactions, etc. Compliance Employee Services - responsible for employee related compliance matters such as registrations/licensing, review and approval of outside brokerage accounts, private investments, outside activities, forensic reviews etc.
Skills
- Risk Management
- Vendor Management
- Project Planning
- Analytics
- New Business Development
- Financial Analysis
- Change Management
- Strategic Planning
- Situational Leadership
- Business Intelligence
- Team Management
- Finra
- Program Management
- Data Analysis
- Due Diligence
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