Subathra Ganeshan
Northlake
Summary
Demonstrates strong analytical, communication, and teamwork skills, with proven ability to quickly adapt to new environments. Eager to contribute to team success and further develop professional skills. Brings positive attitude and commitment to continuous learning and growth.
Overview
10
10
years of professional experience
Work History
Senior Compliance Advisor
Fidelity Investments
09.2024 - Current
- Design and implement Robotics Process Automation (RPA) leveraging advanced analytics techniques to reduce regulatory risk and maintain compliance with regulatory requirements.
- Lead the automation and enhancement of testing and business processes using platforms such as Alteryx, Tableau, SQL, and Snowflake, ensuring scalable and sustainable solutions.
- Built several Alteryx workflows and re-established multiple BOTs, supporting both the Internal Controls and CRG teams. Successfully updated coding and logic for existing BOTs, returning two into production to validate account statement and NAP delivery controls.
- Through the continued expansion of the Fid.com BOT, enabled the processing of an additional 3,000 URLs, giving the business a clear, actionable roadmap to systematically identify and remove expired content. This work improved data hygiene, reduced manual effort, and strengthened compliance controls.
- Played an important role in resolving an ACP issue by designing and implementing automation to analyze historical data, validate results, and confirm the effectiveness of the enhanced process.
- Communicate complex regulatory issues, provided consistent support to the testing team, contributing data analytics across a variety of reviews and helping to achieve our testing goals.
Risk Manager
Fidelity Investments
09.2022 - 09.2024
- Conducted comprehensive risk assessments and control testing for internal controls in FI, minimizing regulatory issues and finding potential incidents across regulatory programs (FINRA Rule 3120, Exchange Act Rule 15c3-5, SEC Rule 17a-5, DBS, Green Pier).
- Proficient in using the Archer GRC platform to house the test results and findings. Utilizing Archer to create Issues and action plans to complete the testing cycle of the year. Enhanced integrated risk management by automating controls through CSMP application implementation, resulting in a 40% productivity increase.
- Leveraged Alteryx and ETS tools to optimize internal control testing by automating the manual review process and saving 20 hours weekly and boosting team efficiency by 30%.
Risk Analyst
Fidelity Investments
10.2021 - 09.2022
- Test the highest volume of controls and at the same time multitasks with other projects. Handled all of the team’s action plan submission in Archer and trained other on the team to do the same.
- Leveraged ORD and other applications to gather and test extensive data sets for the 3120 Supervisory Program.
- Built strong relationships with stakeholders and compliance advisors, facilitating kick-off meetings, testing controls, reporting findings, and preparing Executive Summaries for Senior Leadership to enhance compliance adherence.
Transaction Processor
Fidelity Investments
12.2020 - 10.2021
- Complete and verify standard transactions to ensure adherence to quality standards and maintain a clear, accurate audit trail.
- Operate in a detail-oriented environment focused on ensuring data accuracy and completeness, improving procedures through innovative methods, and resolving errors on platforms.
Programmer Analyst
Cognizant Technology Solutions
11.2015 - 11.2017
- Spearheaded the Pearson Connexus project in an agile environment by implementing frontend frameworks and tools that reduced UI development time by 30%, developed a reusable calendar component saving 30 hours per user story for new portal setups (recognized in the client newsletter), and performed backend coding and data routing using Azure and .Net with unit testing to ensure optimal browser functionality.
Education
Master of Science - Cybersecurity
University of Dallas
Dallas, United States12.2021
Bachelor of Science - Electronics and Communications Engineering
Karpagam College of Engineering
Coimbatore, India03.2015
Skills
- Alteryx Designer
- Tableau Desktop
- Snowflake
- SQL
- Data analysis
- Risk Management
- Compliance
- AI-driven automation
Personal Information
Title: Senior Compliance Advisor
Timeline
Senior Compliance Advisor
Fidelity Investments
09.2024 - Current
Risk Manager
Fidelity Investments
09.2022 - 09.2024
Risk Analyst
Fidelity Investments
10.2021 - 09.2022
Transaction Processor
Fidelity Investments
12.2020 - 10.2021
Programmer Analyst
Cognizant Technology Solutions
11.2015 - 11.2017
Bachelor of Science - Electronics and Communications Engineering
Karpagam College of Engineering
Master of Science - Cybersecurity
University of Dallas