Sunita Anroodgi

Accomplished and results-driven Senior Compliance Officer with extensive expertise in AML, regulatory frameworks under UK and EU directives, which also includes the FCA Handbook. Demonstrated success in embedding compliance culture across FCA-regulated firms through strategic oversight, stakeholder engagement, and delivery of complex compliance initiatives. Providing a meticulous, analytical approach and the ability to perform under pressure, ensuring seamless alignment of regulatory obligations with business objectives.

Skilled in leading compliance projects from inception to delivery, fostering operational integrity and trust within dynamic financial environments.

Market Maker - Blackwell Global Prime

(2025-12 - 2026-04)

contract

• Managed the trade reconciliations checks against liquidity providers, producing the daily Prime Trading Desk P&L and Introducing Broker P&L and managing Prime Trading Desk equity positions. Managed HNW client activity and trading.

Compliance Officer - Capital Com (UK) Limited

(2021-06 - 2025-06)

A key Compliance Officer at a leading FCA-regulated CFD and Spread Betting firm, specialising in AML oversight, transaction monitoring, and consumer protection.

• Primary point of contact for business units, responding to queries and requests from the wider business.
• Providing expertise in training initiatives to ensure staff compliance awareness as well as induction training on systems and controls. Serving as the main point of contact for any high-risk clients or vulnerable clients, overseeing their escalation processes and working closely with the Commercial team to ensure we stay in line with Consumer Duty.
• Overseeing Source of Funds (SOF) and Source of Wealth (SOW) reviews, providing expert advice on client requirements from a second line perspective.
• Spearheading the implementation and management of Transactions Monitoring for the UK jurisdiction.
• Meticulously reviewing and approving Sanctions, Enforcement, and Politically Exposed Person (PEP) alerts.
• Managing and monitoring; Gifts and Hospitality, Breaches and Incidents, Personal Account Dealing Vulnerable Client and Enhanced Due Diligence (EDD).
• Continuous review; PEPs, Sanctions, Enforcements, Disqualifications, and Adverse Media.
• Providing monthly Management Information (MI)

Client Retention and Sales - SWIFT

(2019-09 - 2019-12)

contract. Client focused role with the largest and most streamlined method for international payments and settlements.

• Supported relationship management for international payments and settlements.
• Identified upselling opportunities within existing client portfolios.
• Gathered client feedback to enhance retention and service delivery.

Senior Payments Executive - London Capital Group

(2016-06 - 2019-05)

Managed client banking and card payments, ensuring smooth transactions and compliance. Defended against chargebacks and resolved payment disputes, safeguarding client interests. Investigated payment queries for clients and addressed Compliance requests promptly.

• Utilised strong analytical and communication skills to identify and resolve payment discrepancies swiftly.
• Proactively streamlined payment processes to enhance client satisfaction and mitigate risks.

Client Services Supervisor - Cantor Index/Solo Capital Partners

(2013-08 - 2015-12)

• Managed account opening procedures, conducting AML and KYC checks to ensure regulatory compliance.
• Managed migration of clients from Cantor Index to Solo Capital, overseeing KYC and static data transition.
• Executed project management and testing initiatives for smooth transitions.

Sales Trader - Commodities and FX - Cantor Index

(2013-01 - 2013-03)

Travel

(2011-08 - 2012-12)

Sales Trader - Gekko Global Markets

(2009-11 - 2011-07)

Market Maker - Commodities and FX - Cantor Index

(2003-05 - 2009-11)

BA (Hons) - Business Studies - South Bank University (1996 - 1999)