Rehan Ashraf currently serves as a Compliance Analyst at Stone Harbor Investment Partners, where he plays a pivotal role in ensuring adherence to regulatory standards and internal policies within the investment management industry. With a comprehensive understanding of various product offerings, including UCITS, private clients,...
Rehan Ashraf currently serves as a Compliance Analyst at Stone Harbor Investment Partners, where he plays a pivotal role in ensuring adherence to regulatory standards and internal policies within the investment management industry. With a comprehensive understanding of various product offerings, including UCITS, private clients, and pension mandates, Rehan effectively collaborates with diverse stakeholder groups. His interactions span from internal teams, such as front office, marketing production, and investment writers, to external partners, including service providers during onboarding processes and client engagements.
In his daily responsibilities, Rehan conducts meticulous post-trade blotter checks, scrutinizing allocations, performance fees, average prices, and commissions to ensure fair allocation practices and compliance with industry regulations. His expertise in electronic communications surveillance, utilizing the Global Relay application, is critical in monitoring market conduct and maintaining the integrity of communications across the firm. Additionally, Rehan reviews the daily Bloomberg ERA report to identify any non-permitted brokers associated with firm accounts, ensuring that all trading activities align with compliance standards.
Rehan's proficiency extends to conducting approved counterparty liquidity assessments through the FOCUS report (SEC Form X-17A-5) requests, and he is actively involved in FCA portal filings (RegData), demonstrating his commitment to regulatory compliance. His skill set encompasses a robust understanding of investment compliance, alternative investments, and statistical analysis, making him an invaluable asset to Stone Harbor Investment Partners. With a keen eye for detail and a proactive approach to compliance, Rehan Ashraf continues to enhance the firm's operational integrity and regulatory adherence.
