Shaan Bhog
Tampa,FL
Summary
CAMS-Certified financial services professional with 5+ years of experience in corporate actions, regulatory compliance, transaction review, and OFAC screening within large financial institutions. Proven ability to analyze complex financial events, mitigate risk, and improve operational controls and processes.
Overview
5
5
years of professional experience
1
1
Certification
Work History
Senior Analyst
The Depository Trust and Clearing Corporation - Mandatory Reorganization Corporate Actions Processing
Tampa, FL
10.2022 - Current
- Reviewed and processed high-value Corporate Action Events—including mergers, acquisitions, and reorganizations—across NYSE, NASDAQ, and OTC Markets, ensuring adherence to regulatory and internal control requirements
- Conducted risk-focused analysis of complex financial events, identifying discrepancies and preventing settlement or compliance issues.
- Led cross-departmental initiatives to enhance operational controls and mitigate risk exposure, cutting task completion times by 25% and achieved a 99% compliance success rate.
- Developed Excel-based verification tools for Transfer Agents, improving data accuracy and reducing operational risk exposure.
- Utilized SQL-based data pulls and structured datasets to support transaction reviews, internal reporting, and case management.
Analyst
The Depository Trust and Clearing Corporation - Mandatory Reorganization Corporate Actions Announcements & Proxy
Tampa, FL
07.2021 - 10.2022
- Reviewed and announced Corporate Actions and Proxy Events—including business combinations, mergers and reverse splits—through DTCC systems, ensuring regulatory accuracy under strict compliance protocols.
- Performed OFAC screening on Corporate Executives, Issuers, and Trustees, creating security position accounts in DTCC Portal and ensuring compliance with DTCC requirements.
- Implemented Enhanced Due Diligence procedures for high-risk clients to mitigate compliance risks
- Analyzed and streamlined procedures within certain initiatives to enhance announcements clarity for DTCC Participants, resulting in improved team efficiency and Broker communication.
Proxy Data Specialist
Broadridge Financial Solutions - Asset Servicing
Brentwood, NY, USA
01.2021 - 07.2021
- Managed Broadridge databases for financial data processing in a high-stress remote setting, centered around general, special, and extraordinary shareholder meetings.
- Reviewed and validated over 50,000 company filings during Proxy Season, ensuring compliance with SEC standards prior to shareholder voting.
- Identified and escalated non-compliant company filings through communication with cross-departmental teams, upper management, and corporate clientele to resolve discrepancies.
- Implemented best practices, revised Proxy Materials for major corporations, including Ferrari, Nike, BMW, Pfizer, and many others.
Education
Bachelor of Science - Applied Math & Statistics
Stony Brook University
Stony Brook, NY01-2020
Bachelor of Science - Economics
Stony Brook University
Stony Brook, NY01-2020
Skills
- Financial Operations
- Anti-Money Laundering
- OFAC Screening
- Regulatory Compliance
- Risk Mitigation
- Microsoft Excel
- SQL
- PowerBI
- Project Management
- Process Enhancement
- Operational Efficiency
- Internal/External Stakeholder Communication
- Problem Solving
Certification
Certified Anti-Money Laundering Specialist (CAMS)
ACAMS - 2026
Timeline
Senior Analyst
The Depository Trust and Clearing Corporation - Mandatory Reorganization Corporate Actions Processing
10.2022 - Current
Analyst
The Depository Trust and Clearing Corporation - Mandatory Reorganization Corporate Actions Announcements & Proxy
07.2021 - 10.2022
Proxy Data Specialist
Broadridge Financial Solutions - Asset Servicing
01.2021 - 07.2021
Bachelor of Science - Applied Math & Statistics
Stony Brook University
Bachelor of Science - Economics
Stony Brook University