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Operations, Compliance, and Service Management

Bedford, Texas, United States
February 14, 2018

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Vinit Harichandra

**** ****** **. ******, ** ****0



United Capital Financial Advisers, Irving, TX, Jan 2016 – Sep 2017

Sr. Manager of Partner Services & Reporting

●Created and implemented over 200 internal controls to reduce regulatory and business risk

●Improved trading and money movement error processing by 20%

●Spearheaded 15 major projects successfully related to reporting, risk management, new reporting requirements, business correspondence, and technology

●Built and test disaster recovery and business continuity plans

●Created and implemented a transitional multi-departmental plan that reduced staff size by 50% and new revenue of $ 1M

●boost operational efficiency by implementing risk management tools and standardization

United Capital Financial Advisers, Irving, TX, Jan 2014 – Jan 2016

Manager of Investment Operations

●Assisted with compliance monitoring processes, revising procedures, and identify hidden risks. 40 new procedures implemented

●Wrote over 200 testing reports for internal or external use and review 17k client accounts data

●Administered SEC compliance reporting, such as 13F, SSAE 16, 13G, 13H, ADV Part 2, and Best Execution

●Worked closely with 12 vendors in initiating major strategic projects, RFPs, reporting request, business correspondence, operating procedures, technical, ad hoc audits and reports

●Designed and developed testing reporting strategies, and analyzed to ensure that controls are functioning as intended

United Capital Financial Advisers, Irving, TX, Mar 2013 – Jan 2014

Investment Operations Specialist

●Drove efforts in establishing, implementing, testing, and managing compliance audits. 15 new audits created and implemented

●Developed 30 audit procedures and business processes that meet standards and instruct business personnel in their use.

●Created a Trading Team that traded on $9.0 Billion in assets and delivered new process and procedures for department


Software MS-Office, Salesforce, Envestnet, SQL, Financial Tracking CMS, Google Suite

Skills Compliance Reporting, Analytical Process, Auditing, Regulatory Compliance, Project Management, Operational Risk Management, Leadership Management Skills, Risk Analysis and Control

Activities Exceptional Contributor Award in 2014, 2015, and 2016


The University of Texas at Arlington, Arlington, TX, 2007-2009, MBA in Finance

The University of Texas at Arlington, Arlington, TX, 2004-2006, BBA in Finance

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