Prateek Patel
As a Regulatory Compliance Specialist at Morgan Stanley with over 7 years of experience in the financial industry,... | New York, New York, United States
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Prateek Patel’s Emails pr****@mo****.com
Prateek Patel’s Phone Numbers No phone number available.
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Prateek Patel’s Location New York, New York, United States
Prateek Patel’s Expertise As a Regulatory Compliance Specialist at Morgan Stanley with over 7 years of experience in the financial industry, I specialize in Possession or Control (PorC) regulations, ensuring customer assets are properly segregated and protected. I have a proven track record of engaging with FINRA auditors, overseeing New Product Approvals, and developing procedures to prevent over-hypothecation of customer assets. With a background in Industrial & Systems Engineering and certifications in ITIL v3 and Six Sigma, I leverage my automation and process improvement skills to lead regulatory initiatives and drive efficiency and innovation. I am passionate about navigating complex and evolving regulatory frameworks, such as Margin (Reg T, OCC TIMS, SPAN), 15c3-3, and Reg SHO, and delivering optimal solutions that mitigate risks and streamline processes. My unwavering commitment to continuous improvement and collaborative teamwork contributes significantly to the ongoing success of Morgan Stanley.
Prateek Patel’s Current Industry Morgan Stanley
Prateek
Patel’s Prior Industry
Panasonic
|
Acurity
|
Moodys
|
Earthport
|
Rbc Capital Markets
|
Morgan Stanley
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Work Experience
Morgan Stanley
Director
Sun Jan 01 2023 00:00:00 GMT+0000 (Coordinated Universal Time) — Present
Morgan Stanley
Associate
Thu Jul 01 2021 00:00:00 GMT+0000 (Coordinated Universal Time) — Sun Jan 01 2023 00:00:00 GMT+0000 (Coordinated Universal Time)
Rbc Capital Markets
Analyst
Sun Apr 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Jul 01 2021 00:00:00 GMT+0000 (Coordinated Universal Time)
Earthport
Analyst
Sun Oct 01 2017 00:00:00 GMT+0000 (Coordinated Universal Time) — Sun Apr 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time)
Moodys
Project Manager
Fri Jan 01 2016 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Dec 01 2016 00:00:00 GMT+0000 (Coordinated Universal Time)
Acurity
Analyst
Tue Jul 01 2014 00:00:00 GMT+0000 (Coordinated Universal Time) — Tue Dec 01 2015 00:00:00 GMT+0000 (Coordinated Universal Time)
Panasonic
Internship
Mon Jul 01 2013 00:00:00 GMT+0000 (Coordinated Universal Time) — Wed Jan 01 2014 00:00:00 GMT+0000 (Coordinated Universal Time)Skills
Languages
Prateek Patel Email Addresses
FAQ About Prateek Patel
-
Prateek Patel is located at
New York, New York, United States -
Prateek Patel is a
As a Regulatory Compliance Specialist at Morgan Stanley with over 7 years of experience in the financial industry, I specialize in Possession or Control (PorC) regulations, ensuring customer assets are properly segregated and protected. I have a proven track record of engaging with FINRA auditors, overseeing New Product Approvals, and developing procedures to prevent over-hypothecation of customer assets. With a background in Industrial & Systems Engineering and certifications in ITIL v3 and Six Sigma, I leverage my automation and process improvement skills to lead regulatory initiatives and drive efficiency and innovation. I am passionate about navigating complex and evolving regulatory frameworks, such as Margin (Reg T, OCC TIMS, SPAN), 15c3-3, and Reg SHO, and delivering optimal solutions that mitigate risks and streamline processes. My unwavering commitment to continuous improvement and collaborative teamwork contributes significantly to the ongoing success of Morgan Stanley. Morgan Stanley -
Prateek Patel currently works in the
Morgan Stanley -
Prateek Patel specializes in
As a Regulatory Compliance Specialist at Morgan Stanley with over 7 years of experience in the financial industry, I specialize in Possession or Control (PorC) regulations, ensuring customer assets are properly segregated and protected. I have a proven track record of engaging with FINRA auditors, overseeing New Product Approvals, and developing procedures to prevent over-hypothecation of customer assets. With a background in Industrial & Systems Engineering and certifications in ITIL v3 and Six Sigma, I leverage my automation and process improvement skills to lead regulatory initiatives and drive efficiency and innovation. I am passionate about navigating complex and evolving regulatory frameworks, such as Margin (Reg T, OCC TIMS, SPAN), 15c3-3, and Reg SHO, and delivering optimal solutions that mitigate risks and streamline processes. My unwavering commitment to continuous improvement and collaborative teamwork contributes significantly to the ongoing success of Morgan Stanley. -
Prateek Patel speaks the following languages:
No languages available. -
Prateek Patel has prior experience in the following industries:
Morgan Stanley , Rbc Capital Markets , Earthport , Moodys , Acurity , Panasonic -
Prateek Patel has the following professional experience:
Morgan Stanley , Morgan Stanley , Rbc Capital Markets , Earthport , Moodys , Acurity , Panasonic . -
You can view Prateek Patel’s
LinkedIn profile at LinkedIn URL. -
Prateek Patel’s work email addresses are
[email protected] . -
Prateek Patel works at
Morgan Stanley
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