AISHWARYA EKKA
Compliance Officer
Amsterdam
Summary
Dynamic and motivated Compliance officer bringing a mix of background and experience of Financial markets, Supply chain management as well as Corporate Law.
Holding a major achievement of setting up the compliance function in the new Mumbai office of IMC Trading B.V. in 2022.
With a strong legal qualification from a prestigious European university, proficient in current regulations, standards and best practices of the financial markets sector, holding an additional degree in Business administration, skilled in working in cross functional diverse teams, managing projects from initiation to completion, exhibiting exceptional communication skills towards internal and external stakeholders as well as having a complete data driven mindset, I am of the strong opinion that I am fit for the offered role.
Additionally got awarded the 'Best innovator' for analytical thinking and creative problem solving in the first four months of working for a one of the biggest tech companies.
Seeking to leverage the knowledge and experience acquired throughout the journey of law school and professional life and the tenacious quest for success+ learning to deliver the desired impact.
Overview
6
6
years of professional experience
6
6
years of post-secondary education
Work History
Compliance Officer
IMC Trading B.V.
Amsterdam
06.2021 - Current
- Compliance lead on DORA (Digital Operational Resilience act) for IMC Trading
- Core regulatory team in setting up IMC India (India entity of the IMC B.V. group)
- Active participation in market wide industry groups such as APT and EPTA (Association of Proprietary traders)
- Worked on different projects revolving around different EU and Dutch regulations such MIFID II, EU EMIR, SFTR, WWft such as assisting in improving the functional design and logic of reporting requirements under these regulations
- Proven ability to develop and implement creative solutions to complex problems such as Market abuse surveillance, Information barriers across IMC group as well as business and technological compliance approvals for algorithmic trading strategies
- Monitoring and analyzing of daily trading activity to detect potentially undesirable trading patterns and following up with trading desks to ensure appropriate action is taken
- Expert in our daily regulatory transaction reporting processes to ensure reports are sent to regulators in an accurate, complete and timely manner and assisting in improving our systems and controls related to regulatory transaction reporting
- Demonstrated leadership skills in managing projects from concept to completion such Data Retention, Whistleblower legislation for IMC
- Worked on drafting and revising internal policies such as Employee privacy statement as well as assisting in the creation and delivery of training to traders and developers on exchange rules and regulations, market abuse
- Developed strong organizational and communication skills by interaction with all internal and external stakeholders such as global teams across IMC and the Authority of Financial Markets (Dutch regulator)
Trade Compliance Specialist
Syncreon B.V
Amsterdam
01.2019 - 05.2021
- One-person team handling all compliance matters communicated by our client being one of the biggest tech companies
- Coordinated and participated in periodic assessments/audits of programs to ensure that policies, procedures and export/import laws are being adhered to properly
- Interface with internal and external stake-holders on trade compliance matters
- Good understanding of HTS and ECCN classification.
- Prepared audit finding reports and ensure adherence to corrective action plans
- Validated Standard Operating Procedures (SOP's) and maintained Work Instructions to ensure the correct process and guidelines are documented
- Ensured appropriate business-specific policies and procedures, consistent with best practices and company policies and procedures, and that appropriate implementation and training occurs
- Demonstrated strong organizational and time management skills while managing multiple projects.
- Coordinated shipments from Country of Origin (suppliers) to international markets destinations actively following up shipping documentation requirements
- Ensured shipping documents are compliant to the country destination requirements as well as maintenance of regional import/export documentation
- First hand knowledge of the working of the Warehouse Management system (JDA), Inventory Management system and Google tools
- Identified, coordinated and provided export, import compliance training.
- Coherent communication within the team and within departments.
- While working interim as a Material planner, I acquired eminent knowledge Inventory flow, Procurement and Material management.
Legal Assistant
Cliq Digital
Amsterdam
01.2018 - 08.2018
- 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.
Education
LLM - Advanced course of European, Business Law
Leiden University
The Netherlands 09.2016 - 08.2017
LLB - Law And Business Administration
Gujarat National Law University
India 07.2011 - 07.2016
Exchange Student - International Law
The Hague University of Applied Sciences
The Netherlands 01.2015 - 08.2015
Skills
Compliance Monitoring and Assessment
undefinedCourses
2018 - Certificate course on Financial Markets
2018 - Certificate course on Corporate Finance
2018 - Certificate course on International taxation
2017 - Certificate course on International Capital Markets
2017 - Certificate course on Mergers and Acquisitions
Accomplishments
- Internship experience in top law firms of India including Trilegal, Luthra & Luthra as well as DSK Legal
- Headed the Legal team of CARE (NGO), India on legal complications faced by the trans-gender community, sex workers and integrated drug users in the state of Jharkhand, India.
- Multiple internships in various courts (civil and criminal) in India
- Part of Amsterdam Basketball Team ' HarlemLakers' Amsterdam
- Participated in MC Chagla Moot Court Competition on Constitution Law- Government Law College, Mumbai.
- Paper Presentation on "Prominence of Human Development and
Education in a Democratic Nation" at Gujarat National Law University and “Clout of press in a Democratic Nation' at the national conference held in School of Law at Christ University. - Got awarded the 'Best Athlete' in 2013 and 2016 in GNLU (India).
- State and University captain of the Basketball team and University
Volleyball and Football player. - November/ December 2017- Manager of an Indian Restaurant (Den Haag): ‘Taste of India.
Timeline
Compliance Officer
IMC Trading B.V.
06.2021 - Current
Trade Compliance Specialist
Syncreon B.V
01.2019 - 05.2021
Legal Assistant
Cliq Digital
01.2018 - 08.2018
LLM - Advanced course of European, Business Law
Leiden University
09.2016 - 08.2017
Exchange Student - International Law
The Hague University of Applied Sciences
01.2015 - 08.2015
LLB - Law And Business Administration
Gujarat National Law University
07.2011 - 07.2016
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