Assistant Manager
Head of Compliance – International Financial Services (Qatar) LLC
Total years of experience :7 years, 11 Months
Key Result Areas:
•Responsible for all compliance matters pertaining Companies Regulations, Immigration and Employment Laws, etc. issued by the Qatar Financial Centre Regulatory Authority (QFCRA).
•Responsible compliance oversight function and AML function for the authorized activities of the company
•Updating policies, procedures, systems and controls as per applicable laws and regulations.
•Review and approve business cases regarding product suitability.
Manager - Audit and Compliance and MLRO with International Law Chambers LLC (Doha-Qatar)
Apr’18-Sep’19
Key Result Areas:
•Responsible for all compliance matters pertaining to AML CFT Laws of the Qatar Financial Center (QFC).
•Compliance of Companies Regulations, Employment Regulations, etc. applicable laws of the QFC.
•Successfully set up and managing practice of a Support Service Provider for the Firm to provide company formation and company administration services, viz. acting as Directors, Senior Executive Function, and Secretary and providing registered office function to other companies.
•Actively involved in review and drafting of agreements and contracts for banking and commercial matters.
Manager - Financial Crime Surveillance Unit with Standard Chartered Global Business Services (Bengaluru-India) Mar’16-Aug’17
Key Result Areas:
•Direct management of a large team of AML Analysts and providing feedback, instructions, guidance and direction to the team.
•Investigation of alerts of suspicious transactions/circumstances as well as preparation and submission of reports to Senior Management for review.
•Actively involved in UAT, resolving technical issues/testing of new AML software implemented by the Bank.
•Interface with Audit, Business Line Senior Management and Technology groups for process improvement and technology issues.
•Regular meeting with stakeholder for review of performance and future planning.
•Played a Key Role in setting up of Bengaluru site in terms of manpower requirements and co-ordination with Admin function.
Key Result Areas:
•Acting as a Key Person in the Regional Office for front and back office operations and investor relations for retail and institutional clients by demonstrating strong customer service attributes, accurate and logical problem solving, communication and written skills.
•Compliance of KYC norms - checking and verifying investors’ and advisors’ documents received for investment or empanelment, as mandated by SEBI/AMFI and Co-ordination with the Registrars and Transfer Agents
(CAMS) and Head Office for resolution of investor complaints.
•Ascertaining product suitability considering client’s profile and purpose of investment.
•Assisting empaneled Advocates in handling legal cases filed by investors (for Gujarat Region).
Assistant Manager - Retail Asset Operation with HDFC Bank Ltd, Rajkot Jan'07-Mar'08
Key Result Areas:
•Verification of KYC documents of applicants and handling disbursement of loan products like Two-Wheeler, Auto Loan, Used Car, Personal Loans, Commercial Vehicle Loan, Loans against Securities.
•Checking documents for appointment of Direct Sales Associate (DSA), compliance of documentary requirements of Inventory Funding.
•Responsible for verification of vendor bills and timely payment.
Executive - Compliance with Angel Broking Ltd, Rajkot Regional Office Mar'06-Dec'06
Key Result Areas:
•Verification of KYC documents for opening of Trading and Demat account and empanelment of sub-brokers
•Activation / De-activation of trading ID for Equity and Commodity Exchanges.
•Inspection and Audit of branches and empaneled sub brokers and present report for the same to the senior management.
•Actively participating in a joint call with Relationship Manager to ascertain that whether clients are aware and/or being informed about the product features and inherent risk.
Management Trainee - under the Company Secretary of Bank of Baroda, Vadodara Oct'04-Mar'06
Key Result Areas:
•Actively involved in compliance with the Listing Agreement, Banks Nationalization Act, RBI Act, Companies Act, etc. with experience in drafting of Notes to Board of Directors and Committees of Directors/Executives and preparation of minutes of the meetings.
•Assisted the Company Secretary in convening, holding and conducting AGM/EGM as per applicable laws.
•Actively participated in listing and other formalities of issue of Bonds on private placement basis and follow-on Public Offer of the Bank.
Completed -3- semesters of LL.B from the Saurashtra University, Rajkot (Gujarat). Certifications •Certificate course on Forensic Audit – conducted jointly by the Institute of Company Secretaries of India and KPMG. •Passed a course on Contract Law, offered by HarvardX, an online learning initiative of Harvard University.
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