Akash Aggarwal

Location

New York City, NY
Princeton, NJ
Education
    Fordham University
    August 2013 - May 2017
    degree
    Bachelor's
    major
    Economics
Work Experience
    UBS Financial Services
    Senior Compliance Analyst Wealth Management
    New York, NY, US
    October 2019 - present
    company
    UBS Financial Services
    title
    Senior Compliance Analyst Wealth Management
    overview
    - Oversee AML/KYC/BSA regulatory compliance through audits of high/higher-risk clients, through - Evestment, Morningstar, Factset and Bloomberg to sustain the firms risk management framework - Implemented a WM/IB new business initiative to facilitate OTC derivatives trading (swaps, FX, rates, equities) that resulted 50mil+ transactions routinely - Draft procedures and bi-lateral agreements to ensure compliance with IB and WM regulatory standards (Dodd Frank, ISDA, Patriot Act, FATF, OFAC, Investment Advisors Act 1940 - Engage in trade surveillance of OTC derivatives products to maintain compliance controls for potential - Facilitate a working relationship with financial advisors and IB trade desks, to fulfill periodic review
    Morgan Stanley
    Consultant Project Manager
    New York, NY, US
    May 2019 - October 2019
    JPMorgan Chase
    Investment Analyst Wealth Management
    New York, NY, US
    June 2017 - May 2019
Skills
Languages
EnglishHindiSpanish
Skills
Acceptance TestingActimizeAsset ManagementAuditing SkillsBig DataBusiness DevelopmentCultural ActivitiesCustomer Relationship ManagementDashboardsData AnalysisEconomyEmployee OnboardingFiling SkillsFinancial DerivativesFinancial SecuritiesFinancial StocksInformation ManagementJIRAKnowledge of FinanceMarket ResearchMetricsMicrosoft ExcelMicrosoft PowerPointMicrosoft WordOffice of Foreign Assets ControlsPolitical SciencePortfolio ManagementProblem SolvingProcess ModelingQuickBooks (Software)Reference DataRegulatory ComplianceRemote MonitoringRequirements AnalysisRisk AnalysisRisk AversionRisk ManagementSelf MotivationSQL DatabasesStakeholder ManagementSwap (finance)Tableau (Software)TradingVba Programming LanguageWithholding Tax