Vikas Sharma
About
Vikas Sharma is from Dallas, Texas, United States. Vikas is currently Deputy Chief Compliance Officer at Nephila Advisors LLC, located in Larkspur, California, United States. In Vikas's previous role as a Manager Compliance at Stellus Capital Management/D.E.Shaw & Co., Vikas worked in until Jan 2016.
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Vikas Sharma's current jobs
Leading Compliance throughout the organization along with the CCO Responsible for Investment Advisers Act, CFTC/NFA, and Bermuda Compliance, Working on 10(b)(5) and other insider trading laws and regulation, Drafted and updated Firm Compliance manuals and standalone policies Working on NFA and SEC examinations preparation Conducting firm-wide 206(4)-7 reviews, Responsible for US and foreign marketing rules and Investor Relations, Worked on Anti-money-laundering (AML) regulations for BMA Compliance, Responsible for Code of Ethics and personal trading compliance, Managed Form ADV, Form PF, AIFMD, CPO-PQR, Form D, and Blue Sky Filings.