Ravi Tanwar

Experience

• 

  Genpact

  Jun 2010 - Mar 2021

  Assistant Manager (Supervision Manager), FINRA Registered Principal/Supervisor • Worked as a registered supervisor and supervision manager for one of the leading independent broker-dealer in US.• Leading a team of FINRA certified resources.• Mentoring the team members in clearing FINRA certifications.• Working knowledge of US broker dealer industry with regulatory requirements.• Job responsibilities included:i. Post Trade Suitability Review – Reviewing the trades for suitability as per customer profile.ii. Email Surveillance – Reviewing the emails between the advisors and the customers to check for red flags.iii. New Accounts Review/Approval – Approving/Rejecting the new accounts form based on the completeness of the regulatory and firm’s requirements.iv. Correspondence Review -Reviewing the incoming and outgoing correspondence between the advisors and end customers to highlight the complaints and red flags.• Have worked and managed the below mentioned departments:i. Account Transfers.ii. New Accounts.iii. Brokerage Operations- Maintenance.iv. Money desk (Cashiering).v. Commissions Accounting – (Cross trained).vi. Profile Missing Team- Team responsible for updating KYC and suitability information of the client.• Ensuring seamless client delivery and meeting client expectation.• Assisting with various RFP and RFIs for prospective clients.• Led the WFH movement for the entire account in COVID-19 pandemic.• Expertise in creating the cross-training models for the teams to overcome the high-volume seasonality.• Responsible for meeting SLAs, preparing and presenting monthly/quarterly dashboards to higher management and clients.• Organize and facilitate People engagement and knowledge enhancement sessions for the team. Show less

  • Assistant Manager and FINRA Registered Supervisor Principal

    Oct 2016 - Mar 2021

  • Team Lead

    Jul 2014 - Oct 2016

  • Process Developer

    Aug 2012 - Jul 2014

  • Process Associate

    Jun 2010 - Aug 2012
• 

  Interactive Brokers

  Apr 2021 - now

  Head of Mumbai New Accounts Approval Team, FINRA Registered Principal/Supervisor • Presently working as head of Mumbai New Accounts Approval Team for a broker dealer providing largest electronic trading platform in the United States• Leading a team of FINRA certified new accounts approvers who approve accounts for countries across the globe. • Managing new accounts approvals for US & European region • Team does a holistic review of the account to identify any red flags and reaches out to the client if any clarification is required • Account approval is the final step before account opening. Account goes through different checks like AML review, document check,EDD,CDD,CIP etc. before coming into the approval queue • Current job responsibilities include:i. New Accounts Approval of Individual & ORG accounts – Accounts are reviewed and approved based on overall risk level of the account ii. Capability Upgrade approval- Client’s upgrade request to trading permissions like STK,MF,CFD,MRGN,OPT,FUT,SSF,FOP etc. are approved/rejected as per the eligibility criteria and risk appetite of the client.iii. Email Surveillance – Reviewing the emails between the employees and the customers to check for red flags and complaints.iv. Bad Actor Reviews – reviewing the world check sanction/high risk/internal hits on the associated entities of the account and make a determination if it is the same person/entity. Accounts are accordingly rejected or moved further.v. EDD KYC Review of individual & ORG accounts – EDD KYC refresh is done periodically on clients and when risk ranking of the client changes. • Expertise in creating the cross-training models for the teams to overcome the high-volume seasonality. Show less

  • New Accounts Approval Manager

    Mar 2022 - now

  • New Accounts Principal Approver ( New Accounts Risk. & Compliance)

    Apr 2021 - Mar 2022