Yogesh K.

About Yogesh K.

One constant in the financial services space is change. Its products and technology are consistently transforming through integrations and acquisitions. Still, whether clients are small business owners or international conglomerates, the importance of unbiased transactions and offering the best price in the markets are vital. To ensure trading in financial services occur legitimately and without indulging in any market abuse requires a hawk’s eye to monitor millions of trades across the world. That’s where I come in. My name is Yogesh Kamat and I am the conductor who keeps every monitoring team member tuned, coordinated and inspired to play their roles. As a Director, I need to be able to work together with many different teams and think on a strategic level. I have been described as a solutions-oriented, adaptable, dedicated and focused person with an eye for building trust, taking immediate but informed decision and delivering measurable results along with improved efficiencies. Though my role gravitates towards supervision, I look at every facet of a trade from order input in the system to end of day PnL generation. The surveillance extends to firm employees as to check if they comply with the regulator guidelines and industry best practices. My cross-collaboration skills have always helped me focus on ensuring clients are given the best price and markets are not impacted heavily due to firm’s trading. My compliance experience extends to below functions but not restricted to: Trade Surveillance, Employee Trading, Control Group, Regulatory Inquires, Investment and Wealth Management Surveillance, Volcker Rule Compliance, Anti-Corruption Group, Quality Assurance, Disclosures, Testing and E.com Surveillance.I have been working with Morgan Stanley in Mumbai, India for the past nine years, and while I enjoy the work, I am able to adapt to multiple compliance roles. As such, I am interested in leveraging my skills, talents and passion where they would best be served.

Experience

1. Vice President - Regulations Management

   Citi

   Oct 2023 — Present · Mumbai, IN

   1) Provided ongoing Regulations Management program support for Citibank N.A.2) Oversaw reporting, governance and oversight around regulatory changes across International Clusters3) Supported implementation of Regulations Management framework4) Reviewed regulatory circulars from RBI, SEBI and Exchanges and disposed them to relevant business units for implementation and compliance

Education

• Babasaheb Gawde Institute Of Management Studies

  Master’s Degree, Management Studies, Finance

  2009 — 2011

• M.L. Dahanukar College

  Bachelor’s Degree, Banking & Insurance

  2006 — 2009