AISHWARYA EKKA

Led the implementation of the EU Digital Operational Resilience Act (DORA), coordinating across global functions to ensure compliance with ICT risk management, incident reporting, and business continuity requirements.
Providing ongoing regional assistance to the IMC Chicago compliance team on regional IMC’s OSJ activities as well as led policy development and alignment efforts for IMC Zug (Switzerland), which is specially focusing on crypto trading activity and the move towards regulated markets.
Acting as Compliance Lead for APAC Night Trading Desk, ensuring surveillance, trade monitoring, and incident management coverage for extended trading hours.
Overseeing regulatory alignment and surveillance operations for IMC’s London FX OTC office, addressing UK operational activities and regulatory change management.
Conducted regulatory mapping for India market entry, directly liaising with SEBI and NSE on licensing implications and ensuring compliance with Indian regulatory frameworks for proprietary trading.
Led comprehensive reviews of regulatory rulebooks across major trading venues (Eurex, CME, Euronext) to ensure firm-wide policy alignment and mitigate regulatory risk.
Acted as the point of contact for the AFM and DNB, coordinating timely responses to inquiries and aligning internal processes with Dutch regulatory expectations.
Developed and implemented internal compliance policies including whistleblower protection, outsourcing, employee privacy, and critical vendor frameworks.
Reviewed and approved trading strategy documentation, access models, and infrastructure changes for regulatory and internal compliance compatibility.
Managed transaction reporting obligations under MiFID II, EMIR, and SFTR, including reconciliation and gap assessments for reporting completeness.
Delivered internal training sessions on market abuse regulations, surveillance triggers, and conduct risk management.
Led compliance response efforts for audits, regulatory inquiries, and exchange inspections, ensuring documentation and systems met best-practice standards.
Engaged in market-wide industry forums (APT, EPTA), contributing to peer benchmarking, regulatory advocacy, and consultation responses.
Oversaw the design and maintenance of information barrier protocols and controls to prevent conflicts of interest and insider trading.
Supported senior management with governance documentation, policy revisions, risk assessments, and internal reporting.

• Managed global import/export and customs compliance for Google's supply chain operations under Syncreon, acting as the single point of contact for trade compliance.
  Ensured end-to-end alignment with international customs laws and maintained audit readiness through proactive stakeholder engagement and process documentation.
  Built custom compliance SOPs and controls, improving shipment clearance timelines and reducing compliance-related errors.
  Led the deployment of JDA (Warehouse Management System) enhancements tailored to compliance checkpoints.
  Conducted risk assessments and mitigation plans related to trade document deficiencies and evolving global trade regimes.

• 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.