Compliance Analyst
Detail-oriented professional with experience in financial investigations, dispute resolution, and regulatory compliance across global financial services environments. Skilled in monitoring transactions, identifying risk trends, supporting audits, and ensuring adherence to SEC, FINRA, and FCA regulations. Proficient in Excel, Power BI, MySQL, and data analysis to support reporting, risk assessment, and decision-making.
Strong communication with stakeholders and case management, with a record of improving compliance processes and resolving complex cases.
Compliance Analyst - Varite Inc. (Blackrock)
(2025-01)
Supported the project implementation of the MCO compliance platform across investment management functions by performing compliance monitoring aligned with SEC, FINRA, and FCA regulations. Reviewed employee personal trades to identify conflicts of interest and escalate breaches, while assisting with regulatory reporting, audits, and remediation tracking during the project rollout.
Senior Analyst - American Express
(2024-01 - 2025-12)
Investigated and resolved financial disputes while ensuring compliance with regulatory standards. Monitored transactions to identify fraud patterns and risk trends, strengthening compliance controls. Supported internal audits and process improvement initiatives, and prepared analytical reports using Excel to aid financial decision-making.
Operations Associate - Fidelity International
(2019-01 - 2022-12)
Managed fund-holder account transitions in compliance with FCA regulations. Prepared financial reports and tax documentation for client accounts while maintaining accurate financial records and reporting databases. Supported regulatory audits and documentation reviews, and coordinated with internal teams and stakeholders to resolve data discrepancies and ensure timely compliance reporting.
Bachelor of Commerce (Hons) - Commerce - Guru Gobind singh indraprastha university (2016-01 - 2019-12)
