Rinnu Thomas

Rinnu is currently working as Assistant Manager at Geojit Financial Services Ltd with the Anti Money Laundering (AML) team of Compliance department. Prior to joining AML team, she was performing AML Controls with respect to Fundamental Monitoring Point aspect (Quality check). Rinnu has 9 years of experience in the Compliance department.

Presently she has been additionally entrusted with Compliance training role to the newly joined staff. In addition to the above responsibilities, she also performs Research Analyst Controls, Investment Advisory compliance for the efficient and effective implementation of the SEBI regulations.

Assistant Manager - Geojit Financial Services Ltd - India

(2017-01)

• Anti Money Laundering Functions - Transaction Monitoring and analysis of various internal alerts and alerts provided by market regulators.
• Anti Money Laundering Functions - Reporting of suspicious cases to Financial Intelligence Unit (FIU, Govt of India)
• Verification of various reports of Research Team on Compliance perspective and co-ordination with External Auditors with respect to Research Analyst Annual Audit functions
• Providing Compliance Induction training to the newly joined employees of the company (Head Office and Branches all over India) on monthly basis
• Verification of documents submitted by Investment Advisory team and testing the compliance of the same in accordance with SEBI Investment Advisory Regulation
• Verification of personal trades of Research Analysts and verification of research reports prepared by them on SEBI regulatory perspective, Verification of public appearance videos of Research Analysts, Verification of Certifications and Qualifications of Research Analysts on Compliance perspective, preparation of SOP's on behalf of Research Department
• Compliance verification and approval of social media advertisements of Research department and Investment Advisory department sent by Marketing team.

Compliance Officer - Geojit Financial Services Ltd - India

(2013-12 - 2017-12)

• Anti Money Laundering Controls – Quality check of weekly reports prepared by AML team and escalation of the same to superiors.
• Preparation of quarterly Board/Audit Committee presentations, summary of Exchange Circulars, SEBI Orders etc.

Master's in Business Administration - Finance Specialization - Albertian Institute of Management, Ernakulam (2012)

Bachelors in Commerce - Commerce - St Alberts College, Ernakulam (2010)