Preston David Pinto
Dubai
Summary
Looking for an opportunity, where I can optimize my 10 years of experience in the field of compliance, financial analyses in the financial industry to the next level.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Compliance Officer
Tattvam Capital Markets Limited
02.2023 - Current
- Monitor operational processes and procedures using a compliance management platform to ensure that the company complies with all legal regulations and ethical standards
- Contact person and liaison between department heads and senior management
- Conducting regular risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses
- Managing compliance incidents and breaches including investigations, assessments and reporting
- Drafting, implementing, monitoring, and reviewing compliance policies and maintaining associated compliance register
- Serve as a lead compliance coordinator for regulatory requests and examinations.
Compliance Consultant
Dexterity Management Consultants DMCC
01.2022 - 01.2023
- The Job function involved in ensuring that the clients implement the compliance with the KYC requirements in onboarding clients and update the policy procedure to incorporate latest regulations that have been implemented.
Financial Consultant
Deloitte Inc
01.2021 - 11.2021
- Managed forecasts, review baselines for the project and track financial metrics such as revenue, costs, and profitability, while ensuring adherence to Federal regulatory policies and compliance requirements
- Utilized ERM to manage, record and organise client accounts
- Assessed engagement lifecycle including setup, revenue recognition, monitor funding, process vendor invoices, support procurement and engagement closeout
- Evaluated financial viability of proposed business plans and projects
- Monitored project performance and escalated issues by using key performance indicators
- Managed standard tools and procedures to ensure the accurate, timely and high-quality preparation of engagement financials
- Interacted with internal and external clients to provide engagement financial advice
- Produced monthly, quarterly, and annual financial reports (including actuals and forecasts) as required by the Global Finance team
- Led financial compliance project, aligning financial processes with regulatory standards
- Synthesised complex information and technical jargon to formulate easily digestible advice.
Senior Analyst- Compliance
Northern Trust
04.2018 - 12.2020
- On boarding the clients through a risk-based approach in line with Financial Conduct Authority (FCA), UK
- Carrying out the background screening through Worldcheck1 software (Now Refinitiv/LSEG)
- Maintenance of KYC records of Clients through soft scanned copies as well as hard copies
- Ensuring compliance with the FCA’s Client Assets Source Book (CASS) Rules
- Responsible for day-to-day activities of fund of fund investment, private equity
- Responsible for recording and maintain Client commitments in internal books
- Responsible for posting of Capital activities (subscription, redemption, transfers, switches, management fees)
- Assisted in preparation of month end reporting
- Responsible for breaking resolution of income securities likes Mortgage-Backed Securities and Asset backed securities
- Analysed and identify discrepancies between clients position and clearing agents with troubleshooting by liaison with team members, internal groups, external counter-parties
- Tracking and maintaining various MIS reports
- Developing action plans for resolution outstanding issues
- Managing escalations on complex issues, facilitating migration and preparing Monthly controls report for the division
- Preparing migration and testing plans during procedural and technological up gradation
- Playing a vital role in setting up procedural guidelines for research activities
- Responsible for reconciling Cash & Stock books for custodian business
- Responsible to generate reports on the client split position holdings and also identifying if valid and reporting the same to the client and the investment manager
- Responsible to identify if any market level corrections are required on any trade or corporate actions events and notifying the same to the various business units and the investment manager
- Responsible to check if a security is setup correctly on the internal system and notifying the same to the asset setup and pricing team
- Efficiently worked in coordination with other departments in implementing the quality standards and benchmarks
- Resolving net differences in stock accounts and clearing the repair queues and missing balances in cash accounts
- Managed BAU effectively in adherence to Service level agreements and conducted training session to the new partners(presentations and class room sessions)
- Updating DPADS with the changes and also preparing procedures for new accounts migrated
- Review internal control procedures for operational systems, identify weakness and recommend improvements
- Conducting gap analysis and gathering functional information to integrate inputs for bridging gaps
- Developed and maintained healthy and cooperative working environment within the organisation by assisting and coordinating with others time to time to ensure smooth flow of operations.
Analyst – Compliance
Northern Trust
10.2015 - 04.2018
- On boarding the clients through a risk-based approach in line with Financial Conduct Authority (FCA), UK
- Carrying out the background screening through Worldcheck1 software (Now Refinitiv/LSEG)
- Maintenance of KYC records of Clients through soft scanned copies as well as hard copies
- Ensuring compliance with the FCA’s Client Assets Source Book (CASS) Rules
- Financial Analysis
- Responsible for day-to-day activities of fund of fund investment, private equity
- Responsible for recording and maintain Client commitments in internal books
- Responsible for posting of Capital activities (subscription, redemption, transfers, switches, management fees)
- Assisted in preparation of month end reporting
- Responsible for breaking resolution of income securities likes Mortgage-Backed Securities and Asset backed securities
- Analysed and identify discrepancies between clients position and clearing agents with troubleshooting by liaison with team members, internal groups, external counter-parties
- Tracking and maintaining various MIS reports
- Developing action plans for resolution outstanding issues
- Managing escalations on complex issues, facilitating migration and preparing Monthly controls report for the division
- Preparing migration and testing plans during procedural and technological up gradation
- Playing a vital role in setting up procedural guidelines for research activities
- Responsible for reconciling Cash & Stock books for custodian business
- Responsible to generate reports on the client split position holdings and also identifying if valid and reporting the same to the client and the investment manager
- Responsible to identify if any market level corrections are required on any trade or corporate actions events and notifying the same to the various business units and the investment manager
- Responsible to check if a security is setup correctly on the internal system and notifying the same to the asset setup and pricing team
- Efficiently worked in coordination with other departments in implementing the quality standards and benchmarks
- Resolving net differences in stock accounts and clearing the repair queues and missing balances in cash accounts
- Managed BAU effectively in adherence to Service level agreements and conducted training session to the new partners(presentations and class room sessions)
- Updating DPADS with the changes and also preparing procedures for new accounts migrated
- Review internal control procedures for operational systems, identify weakness and recommend improvements
- Conducting gap analysis and gathering functional information to integrate inputs for bridging gaps
- Developed and maintained healthy and cooperative working environment within the organisation by assisting and coordinating with others time to time to ensure smooth flow of operations.
Education
B.B.M In Accounting And Finance -
SDM College of Business, Management, Mangalore
01.2014
Skills
- Microsoft Excel
- Month-end
- Reconciliations
- Variance analysis
- Complex problem solving
- MS Office suite
- Knowledge of ERM
Certification
- Six Sigma Green Belt
- CISI-UAE Rules and Regulations
- CISI- Combating Financial Crime
Personnel Traits
- Self-motivated
- Team player
Timeline
Compliance Officer
Tattvam Capital Markets Limited
02.2023 - Current
Compliance Consultant
Dexterity Management Consultants DMCC
01.2022 - 01.2023
Financial Consultant
Deloitte Inc
01.2021 - 11.2021
Senior Analyst- Compliance
Northern Trust
04.2018 - 12.2020
Analyst – Compliance
Northern Trust
10.2015 - 04.2018
B.B.M In Accounting And Finance -
SDM College of Business, Management, Mangalore
Similar Profiles
Kumaresan AKumaresan A
Dealing Executive at Aionion Capital Markets Private limitedDealing Executive at Aionion Capital Markets Private limited
Gowtham K RGowtham K R
NA at Aionion Capital Markets Private limitedNA at Aionion Capital Markets Private limited
Joshua GuevaraJoshua Guevara
Manager Trade Desk at Capital Markets Elite Group LimitedManager Trade Desk at Capital Markets Elite Group Limited
NAVAS MOHAMEDNAVAS MOHAMED
Digital Marketing Manager & Team Lead at Invisor Management Training LLCDigital Marketing Manager & Team Lead at Invisor Management Training LLC
Gabriel Omar El BizriGabriel Omar El Bizri
Workforce Research Consultant at City of Rancho CucamongaWorkforce Research Consultant at City of Rancho Cucamonga