Summary
Overview
Work History
Education
Skills
Accomplishments
Timeline
Hobbies and Interests
Generic
Mohit Makkar

Mohit Makkar

Gurugram,India

Summary

Senior Compliance Analyst at The D. E. Shaw Group with extensive experience in regulatory compliance, reporting, Code of Ethics and process optimization. Proven expertise in developing scalable frameworks for regulatory reports, designing trade monitoring systems, and automating compliance processes. Skilled in stakeholder management, internal auditing, financial modeling, and tools like Finscan and Discovery Accelerator. Focused on leveraging Regtech innovations to improve compliance and operational efficiency.

Overview

9
9
years of professional experience

Work History

Senior Compliance Analyst

The D. E. Shaw Group
01.2023 - Current
  • Developed a scalable framework for generating accurate and timely regulatory reports, including TIC SLT, Corporate Transparency Act, Form 13F, and NFA Questionnaires
  • Audited over 100 internal process as a part of the Internal Audit/Compliance Testing Program.
  • Trained more than 20 resources to ensure organizational compliance with regulations from FINRA, NFA, FCA, SEC, FRB, and other authorities
  • Led root cause analyses following identified instances of non-compliance, devising effective remediation plans that prevented recurrence while minimizing disruption to normal business operations.
  • Provided expert guidance on complex compliance matters, assisting in the resolution of high-stakes issues.
  • Served as a subject matter expert on regulatory requirements during system implementations and process improvements projects, ensuring seamless integration into existing workflows.
  • Conducted thorough investigations to address potential violations of regulations, resulting in reduced penalties and fines.

Compliance Analyst

The D. E. Shaw Group
10.2021 - 12.2022
    • Designed and deployed multiple advanced trade monitoring systems, meticulously tailored to ensure full compliance with complex regulatory requirements and mandates, thereby enhancing operational efficiency and risk management.
    • Spearheaded the seamless integration of a new brokerage system, significantly improving employee trade monitoring capabilities and optimising Code of Ethics workflows to enhance overall operational efficiency and regulatory compliance.
    • Led a team of two in ensuring the timely execution and availability of key compliance certifications, such as QIB Status, Regulation S, FINRA 5130-5131, and FINRA 2111. This initiative facilitated the smooth settlement of trades, ensuring compliance with the necessary validations tied to these certifications.
    • Monitored real-time trades to identify and address potential issues, mitigating risks and safeguarding assets.

Deputy Manager, CFO Team

ICICI Bank
11.2020 - 10.2021
  • Automated regulatory reporting processes in compliance with Reserve Bank of India (RBI) guidelines for more than 10 reports while enhancing operational efficiency and ensuring regulatory adherence.
  • Analyzed business requirements and designed customized logic to automate previously manual regulatory report preparation, thereby streamlining processes and significantly reducing manual effort.
  • Collaborated with global teams to manage and address statutory reporting requirements across key jurisdictions, including the USA, Canada and South Africa.
  • Monitored and tracked project deliverables, ensuring timely completion and alignment with both regulatory standards and established timelines.

ESG Research Intern

SG Analytics
04.2019 - 05.2019
    • Conducted in-depth corporate governance research and performed comprehensive analysis of board structures.
    • Assessed proposed resolutions, and reviewed AGM voting outcomes for a diverse range of organizations.

Equity Research Intern

IIFL Securities
11.2018 - 03.2019
    • Built comprehensive financial models for valuation and forecasting
    • Performed peer analysis and stock valuation

Finance Intern

Paytm
11.2016 - 03.2017
  • Promoted digital payment adoption through customer acquisition campaigns
  • Raised awareness about digital financial services

Education

PGDM - Finance & General Management

SVKM's Narsee Monjee Institute of Management Studies
03.2020

Bachelor of Commerce -

Kurukshetra University
05.2018

Class XII -

P.K.R. Jain School
03.2015

Class X -

St. Joseph School
03.2013

Skills

  • Regtech
  • Regulatory compliance and reporting
  • Stakeholder and Project Management
  • Internal auditing and monitoring
  • Financial Modelling and Valuation
  • Proficient in compliance tools such as Finscan and Discovery Accelerator
  • Regulatory expertise
  • Anti-money laundering
  • Internal controls
  • Audit management
  • Compliance monitoring

Accomplishments

  • Successfully led onsite cross-border teams in the USA to deliver critical regulatory filing projects, ensuring full compliance with SEC and NFA requirements and driving timely, high-impact outcomes.
  • Spearheaded initiatives resulting in a 30% reduction in compliance reporting errors.
  • Secured a place on the prestigious Dean's List at NMIMS during my MBA program.
  • Competed as a national-level Karate athlete.
  • Led the Entrepreneurship Committee at NMIMS.

Timeline

Senior Compliance Analyst

The D. E. Shaw Group
01.2023 - Current

Compliance Analyst

The D. E. Shaw Group
10.2021 - 12.2022

Deputy Manager, CFO Team

ICICI Bank
11.2020 - 10.2021

ESG Research Intern

SG Analytics
04.2019 - 05.2019

Equity Research Intern

IIFL Securities
11.2018 - 03.2019

Finance Intern

Paytm
11.2016 - 03.2017

PGDM - Finance & General Management

SVKM's Narsee Monjee Institute of Management Studies

Bachelor of Commerce -

Kurukshetra University

Class XII -

P.K.R. Jain School

Class X -

St. Joseph School

Hobbies and Interests

Poetry (Stage Artist), Cricket

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