Compliance Manager
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I have worked as a compliance manager and was mainly involved in employee compliance projects related to review of electronic communication and monitoring, code of ethics monitoring, operational due diligence, and marketing material reviews.
Worked on due diligence, code of ethics, e comm surveillance review and project management
Support client in range of ODD project management, BIG reviews, ongoing monitoring and surveillance, hedge funds reach outs,
coordinate with the primary and secondary reviewers, along with BIG and Investment management team
Review and preparation of due diligence questionnaire,
manager’s meeting notes documentation on Dynamo,
maintain and enter the process work flow on Confluence notes
Work closely with team to provide daily guidance of tasks,
training to new joiners, and take care of the onboarding process
Review of electronic communication monitoring for corporate and field employees; Lead an
8- member team and act as a
SME; coach and guide them to identify flags and escalate them for review by business;
Worked on Lexicon improvement program, identifying and reducing false positives, meaningful sampling, suggest method for monitoring different types of communication channels
Monitoring/ coordinating activities as appropriate & preparing reports for stakeholders
KYC projects for a client include PEP check, adverse media check
Expense Compliance project; helped the stakeholders to build their internal policies and check for anomalies in filing the expenses; Supported Voice Surveillance and Pitch book reviews
Contributed to Distribution Compliance review for leading fund managers
Worked with training team for developing training modules for compliance
Published Compliance blogs and supported juniors with research and vetting the blogs
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09/2010
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02/2018
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Gurgaon, India
Led a team of five members for Electronic Communication
Led projects for social media, lexicons research & ad
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hoc confidential research
Led a transition project of employees from LOTUS note to
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comm review revamping project
Worked on redaction, arbitration ranking and e
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discovery projects to support para
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legals
Have been part of Lean In Circle Ameriprise; also served as a member of engagement committee of the department
Bundelkhand University, Jhansi, India
05/2013
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05
/2015
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%
59
Institute of Management Studies, University of Bundelkhand
05/2007
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05
/2020
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73%
