Aarti Mishra
Legal & Compliance Officer
Thane
Summary
With over 9 years of diverse experience, I specialize in compliance disciplines such as people management, governance, and risk management.
My expertise includes regulatory compliance reporting, policy review, financial analysis, and AML practices. Skilled in developing SOPs, control plans, and automating processes to enhance team productivity.
Proficient in cost-saving projects, and UAT facilitation. I prepare monthly and quarterly reports for senior management, ensuring transparent communication.
Adept at leading teams, imparting training, and fostering a culture of safety and quality. Effective communicator with strong leadership and adaptability skills
Overview
11
11
years of professional experience
5
5
years of post-secondary education
3
3
Languages
Work History
Control Group (Director)
Morgan Stanley Advantage Services
2023.10 - Current
- As Compliance Officer, conducting New Hire Orientation Program for employees in the Firm
- Updating Policies and Procedures on a periodic basis to reflect changes and amendments in the Employee Trading and Control Group Space
- Assisting Onshore with regulatory inquiries
- Identifying trends and patterns and suggesting improvements to have controls in place via presenting MIS to the management
- Leading the project of migrating the existing system with the new system
- Testing firms control on restrictions with regards to employee trading
- Periodic review and investigation of alerts generated on potential employee trading breach.
London EMEA Advisory (Manager)
Morgan Stanley Advantage Services
2022.01 - 2023.09
- Reviewing Outside Business Activity and Private Investments of employee
- Advising employees of Morgan Stanley on trading and policy related query
- Managing team by delegating and assisting on BAU activities
- Ensuring accuracy & timely reporting to all Stakeholders
- Understanding and implementing various regulatory rules and policies
- Identifying and reporting potential breaches of statutory and policy restrictions to the onshore.
Employee Trading & Research – APAC/EMAE (Associate)
Morgan Stanley Advantage Services
2017.06 - 2022.12
- Provide employees with ethical guidance on their investing and outside business activities, ensuring they align with the organization's code of ethics and regulatory requirements
- In the event of a whistleblower report via email, conduct through research to investigate the incident comprehensively
- Act as a trusted advisor to employees, offering guidance on whether they can maintain outside brokerage accounts or transfer to the company's platform
- Emphasize the importance of compliance and ethical decision-making
- Investigate and meticulously log all employees' violations into the CITE system while upholding governance principles and accurately documenting which is crucial for reporting and maintaining a robust governance record.
Associate – Operations
Willis Towers Watsons
2015.08 - 2017.06
- Responsible for cleansing the claims data for UK based clients
- Data gathering, formatting, validating and mapping
- Calculations of the financials data of the clients
- Work on GPD (Global Peril Diagnostic) System – research, validation of locations in UK.
Front Desk Officer – Operations (Juhu Branch)
Axis Bank Ltd.
2013.12 - 2014.07
- Responsible for routine branch operations
- Monitoring of office accounts and high value transactions
- Execution of RTGS/NEFT & transfer requests
- Account servicing, KYC recertification & risk checks
- New client acquisition & lead generation
- Cross-selling of financial products.
Education
M.Com. (Management) -
Mumbai University
2013.01 - 2015.04
B.Com. (Accounts) -
Mumbai University
2012.01 - 2013.04
H.S.C. (Accounts) -
Mumbai University
2009.01 - 2010.04
Skills
Employee Management, Regulatory Compliance Oversight, Document Reviews, Regulatory Documentation, Compliance Monitoring, SOP Writing, Strategic Planning and Investigative Skills
Accomplishments
- Received SPOT awards for successfully managing EMEA and Advisory teams on various occasions
- Participated in National Saving Scheme (N.S.S) for 2 years
- Participated in inter-collegiate workshop on disaster management
Careerstreamline
A robust professional background spanning nine years, I possess extensive expertise in compliance disciplines such as KYC, risk management, due diligence, client onboarding, internal controls and project management. Developed Standard Operating Procedures (SOP), control plans, worked upon process automations projects to reduce human efforts and increase productivity and efficiency of the entire team. Worked on multiple project which has saved cost of the company. Helping in User Acceptance Test (UAT) of Software/Tool.
Totalworkexperience
+9 Years in Legal & Compliance, Banking & Financial Operations
Personal Information
- Date of Birth: 08/05/91
- Marital Status: Married
Projects
Transitioned NY MSIM Outside securities account process to Mumbai (2022) e-Trade account clean up as part of MS Acquisition
Timeline
Control Group (Director)
Morgan Stanley Advantage Services
2023.10 - Current
London EMEA Advisory (Manager)
Morgan Stanley Advantage Services
2022.01 - 2023.09
Employee Trading & Research – APAC/EMAE (Associate)
Morgan Stanley Advantage Services
2017.06 - 2022.12
Associate – Operations
Willis Towers Watsons
2015.08 - 2017.06
Front Desk Officer – Operations (Juhu Branch)
Axis Bank Ltd.
2013.12 - 2014.07
M.Com. (Management) -
Mumbai University
2013.01 - 2015.04
B.Com. (Accounts) -
Mumbai University
2012.01 - 2013.04
H.S.C. (Accounts) -
Mumbai University
2009.01 - 2010.04
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