AISHWARYA EKKA

Compliance lead for Digital Operational Resilience Act (DORA) implementation across local/global operations.
Actively contributed to the core regulatory team for setting up IMC India, aligning policies and processes with Indian regulatory standard including preliminary assessment of SEBI/NSE applicable framework on IMC (including preliminary discussions with SEBI/NSE officials) .
Participated in internal business strategical discussions relating to regulatory models applicable to proprietary trading entities in India.
Compliance lead on reviewing and approving business and technical documentation (e.g., trading strategies, access models) for regulatory and internal policy alignment.
Engaged in market-wide industry working groups such as APT and EPTA for advocacy and benchmarking.
Led projects addressing MiFID II, EMIR, SFTR, and WWft compliance including transaction reporting logic and completeness.
Designed and implemented controls for market abuse surveillance and information barriers.
Drafted internal policies including whistleblower policy, critical vendor outsourcing policy, employee privacy statement, and conducted training on regulatory requirements.
Served as the primary contact for internal compliance queries from trading and technolofy teams; ensured timely responses aligned with internal procedures and regulatory expectations.
Regularly coordinated with Dutch regulators (AFM) and internal stakeholders on compliance-related matters.
Supported management on ad hoc compliance projects including access controls, policy gap reviews, and governance documentation.

• Sole compliance lead managing trade compliance for Google's global operations.
  Ensured regulatory alignment with import/export laws, documentation, and customs regulations.
  Interfaced with stakeholders across functions for audit readiness and policy implementation.
  Developed process efficiencies in customs documentation, WMS (JDA), and compliance training.

• Drafted and proofread correspondence and legal documents, such as Non -Disclosure Agreements, Partnership Agreements, Gateway Agreements, and Order Forms
• Researched regulations, laws, and legal articles to assist with the preparation of reports and legal advice
• Contract Management to the Legal Cloud: Effacts.