1. Rohith H Gowda
Bangalore, India |Contact: (+91) 7760632363|Email: rohithhg@gmail.com
Financial Services, Marketing/regulatory compliance
Senior Sales and Advertising Compliance specialist from State Street Global Advisors, SSGA is 3rd
largest Asset Management Company in the world. I have over 3.9 years of experience and looking for a
new challenging opportunity where co-ordination, technical and capital market skills can be put in to
achieve organizational goals. Open to new challenges in a different field or non-client facing roles in a
varied capital market domain until learning comes in ample. Willing to relocate for a permanent or long-
term position.
Currently working as a Senior Compliance Specialist of 8 member’s team and worked closely with US,
EMEA and APAC. Responsible for Risk identification and Risk Analysis of Investment Models and
Products performance such as ETF, Mutual Funds, Plans and Strategies, Securities to ensure adherence to
global investment industry regulations, as well as internal firm guidelines.
Job responsibilities and Qualifications include:
 Risk identification and minimization of risk.
 Analysis of ETFs, Mutual Funds, CTA, CTFs, Strategies and SMA sales and advertising
materials.
 Strong Knowledge of the financial and capital market products.
 FINRA filing.
 Hedge inappropriate, over promising and over exaggerating language.
 Commodity Trading Advisory accounts and materials review.
 Approval of materials as per the requirements GIPS and SEC, FINRA, FCA regulations.
 Product research.
 Due diligence.
 Analysis of Investment models.
 Review and Analysis of different products materials.
 Process Development and Implementation.
 Training New Joiners.
Academic Record
Qualification University / Board Passing
Year
Master of Business Administration
(MBA Finance)
REVA College
(RITM), VTU
2012
Bachelor of Business Management
(BBM Finance)
REVA College (RISM),
BU
2010

2. Professional Experience
State Street Global Advisors March 2013 to present
Senior Investment Compliance Specialist
Review and Analysis of different products materials for EMEA, APAC and US such as Marketing
Collateral, Fact Sheets Presentation, Investment letters, Website Content of Funds, ETFs, Strategies to
ensure adherence global investment industry regulations, as well as internal firm guidelines.
1). Broad knowledge of analytical functions related to monitoring of SEC, FINRA, FCA and GIPS
regulatory requirements applicable to financial services functions.
2). Use different country and region's regulatory guidelines to identifying and commenting on Regulatory
issues and concerns for review and approve content.
3). Excellent leadership skills demonstrated in high-energy work environment; proven history of
advancement into roles of increased responsibility, high productivity with accountability.
4). Prioritization and Strong analytical investment professional skills and attention to detail on financial
product material.
5) To disclose risks aligned with the different asset class and investment solutions and methods.
Rewards and Recognitions:
 Received Shining Star Award 2016 and summer project award.
 Rewarded well for maintaining high accuracy consistently and for delivering Exceptional Quality
during the year 2013 till current date at State Street Global Advisors, Bangalore.
 2014 TCS 10k Overall rank 21 and had personal best (38min).
 Overall Ranking of 4th at the Wipro Chennai Marathon Run.
 Second Runner-up at the Bangalore Ultra Marathon Run.
 Captain of college badminton team and VTU Rank 4th Badminton player.
Technical Expertise
1. Ad review 2. Internet & Outlook Emails
3. MS Power point 4. AdobeAcrobat
5. MS Office & MS Excel
Personal Profile
Adreview 05-Nov-1987
Interests Fitness and running, Badminton, Cricket, Reading and Travelling
Languages English, Hindi, Kannada & Telugu
Permanent
Address
s/o H.B Gopal Gowda, Halase Panchayat, Mudigere Taluk, Chickmagalur District,
Karnataka – 577132
Current Address #18th Nissarga Gurumurthy street, Halasu Bangalore– 560008
Reference Wilfred Petter, Team lead – Contact No: +9199880636625
Your‘sincerely
Rohith H Gowda