SATHVIKA GULLAPALLY
Overland Park,KS
Summary
Results-driven Compliance and Risk Management Professional with experience across Goldman Sachs, Amazon, and HDFC Bank, driving global regulatory compliance, internal controls, and risk governance programs. Skilled in interpreting and implementing frameworks under CFTC, SEC, FINRA, ISDA, SOX, and international regulatory standards, ensuring audit readiness and operational integrity. Expert in AML/KYC operations, third-party risk management (TPRM), financial crime compliance, data privacy, and policy governance, with proven success in maintaining and updating compliance policies, procedures, and documentation in accordance with evolving regulatory requirements. Experienced in managing Governance, Risk & Compliance (GRC) frameworks and enhancing process efficiency through automation and cross-functional collaboration. Proficient in Excel, SQL, Tableau and Alteryx for compliance analytics, KPI/KRI monitoring, and workflow optimization. Holds an MBA in Finance with a strong ability to translate complex regulatory obligations into scalable, data-driven compliance solutions that strengthen enterprise-wide controls and audit assurance.
Overview
1
1
Certification
6
6
years of professional experience
Work History
Senior Associate - Investor Relations
Citco
Overland Park, KS
01.2026 - 10.2026
- Managed investor account onboarding, including client verification, account setup, and maintenance in accordance with established procedures and compliance requirements.
- Processed account updates and modifications based on client requests, supporting documentation, and internal workflows.
- Executed subscription and trade processing activities, ensuring accurate trade entry and transaction posting in accordance with subscription agreements and investor instructions.
- Performed account and transaction reconciliations, identified and resolved discrepancies, and collaborated with internal teams to enhance operational policies, procedures, and process efficiency.
Regulatory Compliance Associate - Team Lead
Goldman Sachs
Salt Lake City, United States
11.2023 - 08.2025
- Conducted compliance risk assessments for client onboarding and trade monitoring for 100+ institutional clients. Integrated Regulatory Compliance, SOX Controls, Risk Assessment & Mitigation, and Operational Risk Management frameworks.
- Oversaw Third-Party Risk Management (TPRM) and due diligence for institutional clients exceeding $500M AUM, ensuring full compliance with AML, KYC, Financial Crimes Compliance (FCC), Sanctions Screening, and Anti-Bribery & Corruption (ABAC) requirements across CFTC, SEC, FINRA, ISDA, BRRD, and OCC regulatory frameworks.
- Streamlined and updated 15+ Governance, Risk & Compliance (GRC) policies and audit workflows using On spring, Confluence, and SharePoint. Partnered with global compliance and legal teams to interpret emerging regulations, integrate evolving regulatory frameworks into internal policies, and maintain documentation, version control, and approvals to ensure firmwide compliance alignment.
- Managed regulatory documentation and reporting for Investment Advisor and Beneficial Ownership (OCR) cases, maintaining accurate client and counterparty verification records, comprehensive audit trails, and compliance documentation to ensure data integrity, audit readiness, and regulatory adherence.
- Teamed with global units to automate RegTech for SEC transactions; boosted control, testing, resilience.
- Leveraged Excel, Power BI, Tableau, SQL, and Alteryx to automate compliance analytics, KPI/KPI dashboards, exception reporting, and trend analysis, driving data-backed insights and continuous control monitoring.
- Supported Internal Audit, Operational Risk, and Quality Assurance (QA) reviews, ensuring consistency with Basel III, Dodd-Frank, MiFID II, EMIR, and enterprise Compliance Monitoring & Testing standards.
Senior Product Compliance Associate
Amazon
Phoenix, United States
11.2021 - 11.2023
- Created a compliance framework reducing violations via structured testing and automated controls, enhancing governance and product integrity.
- Led incident management and remediation by coordinating cross-functional investigations across the U.S., EU, and APAC marketplaces to address regulatory and operational issues.
- Developed operational KRIs and automated dashboards with Engineering and BI teams in Tableau/Excel. Enhanced compliance visibility and data-driven decisions.
- Ensured adherence to global product compliance and data protection regulations, maintaining conformity with GDPR, HIPAA, FCC, FDA, and regional marketplace standards.
- Drove incident management and remediation by leading cross-functional investigations across U.S., EU, and APAC marketplaces.
- Ensured adherence to global product compliance regulations and data protection standards, maintaining conformity with GDPR, HIPAA, FCC, FDA, and regional marketplace standards across multiple jurisdictions.
- Trained and mentored an eight-member global team on root cause analysis and corrective action planning to strengthen compliance culture and awareness by 40%.
Compliance Specialist
HDFC Bank
Bengaluru, India
09.2020 - 09.2021
- Managed portfolios of 200+ High-Net-Worth clients, delivering end-to-end banking and investment solutions while ensuring compliance with RBI, AML/KYC, and internal control standards.
- Built trust and long-term client relationships. Ensured accuracy in transactional records, resolved payment discrepancies, and escalated risks per protocol.
- Conducted portfolio risk and performance analysis to optimize asset allocation and align with Basel and internal risk frameworks, strengthening portfolio resilience and client satisfaction.
- Streamlined client onboarding and account management workflows, achieving faster turnaround times and maintaining adherence to regulatory and operational compliance protocols.
Education
Master of Business Administration - MBA, Finance
Institute of Public Enterprise
12.2020
Skills
- Regulatory Compliance
- Risk Assessment & Mitigation
- Internal Controls & SOX Compliance
- Anti-Money Laundering (AML)
- Know Your Customer (KYC)
- Financial Crimes Compliance (FCC)
- Third-Party Risk Management (TPRM)
- Governance, Risk & Compliance (GRC)
- Audit & Monitoring Programs
- Policy Development & Implementation
- Regulatory Reporting (SEC / FINRA / CFTC / ISDA)
- Ethics & Corporate Compliance
- Operational Risk Management (ORM)
- Control Design & Effectiveness Testing
- Business Controls & Operational Resilience
- Compliance Monitoring & Testing
- Documentation & Record keeping
- Audit Trail Management
Accomplishments
- Regulatory Reporting Leadership Served as the primary OCR (Ownership & Control Reporting) reporter for Goldman Sachs – Salt Lake City, leading end-to-end reporting for CFTC, SEC, and CBOE regulators. Delivered timely, accurate, and audit-ready submissions, strengthening regulatory transparency, governance, and risk mitigation across the global compliance function.
- SLA Compliance Excellence Achieved 100% SLA compliance for institutional client onboarding and high-value transaction processing, reducing turnaround times, mitigating operational and compliance risks, and ensuring adherence to AML, KYC, and cross-border regulatory frameworks.
Certification
- SQL Advanced — HackerRank
- Tableau Certified Data Analyst Training - 2025 — Udemy
- Alteryx Designer Core Certified — Alteryx
- Bloomberg Market Concepts — Bloomberg
- National Institute of Securities Markets: Mutual Fund Distributors Certification — National Institute of Securities Markets (NISM)
- Protecting Amazon Confidential+ and Privileged & Confidential Information — Amazon
Timeline
Senior Associate - Investor Relations
Citco
01.2026 - 10.2026
Regulatory Compliance Associate - Team Lead
Goldman Sachs
11.2023 - 08.2025
Senior Product Compliance Associate
Amazon
11.2021 - 11.2023
Compliance Specialist
HDFC Bank
09.2020 - 09.2021
Master of Business Administration - MBA, Finance
Institute of Public Enterprise