Rao Eswara serves as the Chief Compliance Officer at Piton. Rao has over 20 years of experience in the financial services industry with proven expertise in Regulatory Risk, Compliance and Advanced Analytics across Asset Management, Capital Markets, Prime Brokerage and Investment Banking. He is been instrumental in building global teams to mitigate enterprise risk, develop policies and procedures and lead risk and internal controls assessments and compliance testing efforts. He has a proven track record as a change agent capable of turning around corporations facing financial, operational and regulatory issues with demonstrable expertise in Risk Governance, Corporate Strategy, Trading Strategies and Regulatory Change Management.
Mr. Eswara is an extremely focused business leader with demonstrable expertise in UCITS, AIFM, Dodd Frank Act, Basel 2 & 3, FRTB, CCAR/DFAST, IRRBB, MiFID 2, BSA/AML, KYC/CDD, Sanctions Screening, Trade Surveillance and Fraud. He has lead large global initiatives at leading banks, broker-dealers, RIA’s, Hedge Funds, ATS, swap dealers and FCM’s and coordinated internal audit efforts related to FRB, SEC, FINRA, CFTC/NFA, CFPB, OCC, FCA/PRA rules and regulations pursuant with IIA, COSO and AICPA guidelines.
As a Managing Director at BNY Mellon, Mr. Eswara developed multi-year enterprise risk and compliance strategies, designed innovative market solutions, forged several key client relationship and managed global product teams spread across U.S., EMEA, and APAC locations. At PricewaterhouseCoopers, he has lead several regulatory risk and compliance related engagements globally to assist first and second lines of defense while leveraging forensic analysis and advanced analytics techniques.
Over the past decade, he has acted as a trusted advisor to executive management, risk and compliance committees and board of directors on a wide range of global regulatory and market trends with proven ability to lead the organization through strategic, regulatory, operational and cultural change