Summary
Overview
Work History
Education
Skills
Activities
Accomplishments
Affiliations
Certification
References
Websites
Timeline
Generic

AMANDA DOURADO

Mumbai

Summary

Results-driven individual with a solid track record in delivering quality work. Known for excellent communication and teamwork abilities, with a commitment to achieving company goals and delivering exceptional service. Passionate about continuous learning and professional development.

Overview

6
6
years of professional experience
1
1
Certification

Work History

LEGAL & COMPLIANCE - (US Registrations)

MORGAN STANLEY
MUMBAI
06.2019 - Current
  • Maintained and updated financial advisors' records on FINRA and NFA platforms.
  • Effectively handled various branch registration and FINRA reports to meet regulatory requirements.
  • Mitigated risk by conducting pre-hire compliance checks that included licensing and regulatory disclosure reviews.
  • Led various projects, such as the Summer program and Cohorts for VCS.
  • Checked and authorized the licenses held by financial advisors, enabling delegation of roles based on their licensure.
  • Streamlined onboarding experience for advisors through facilitation of efficient license transfer to the firm.
  • Demonstrated regulatory expertise while handling a variety of required reports with adaptability.

LEGAL & COMPLIANCE - (Employee Trading)

MORGAN STANLEY
MUMBAI
05.2018 - 07.2018
  • Conducted thorough analysis of employee's personal trading statements to detect any potential malpractice.
  • Monitoring and encouraging organizational-wide compliance with strict adherence to company regulations.
  • Implemented effective strategies to mitigate internal risks.

Education

Bachelor’s In Management Studies (Finance) -

H.S.C (12th) -

C.B.S.E (10th) -

Skills

  • Project Management
  • Regulatory knowledge
  • Reporting skills
  • Legal Research
  • Time Management
  • Public Relations
  • Critical Thinking

Activities

  • Public Relations head of Adorea (2018 - 2019)
  • Public Relations Head of HOPE (2018 - 2019)

Accomplishments

● Public Relations head of Adorea (2018 - 2019)

● Public Relations Head of HOPE (2018 - 2019)

Affiliations

  • Avid traveler
  • Music and Dance enthusiast
  • Gourmand
  • Cricket aficionado

Certification

  • English
  • Hindi
  • French
  • Arabic
  • Konkani

References

References available upon request.

Timeline

LEGAL & COMPLIANCE - (US Registrations)

MORGAN STANLEY
06.2019 - Current

LEGAL & COMPLIANCE - (Employee Trading)

MORGAN STANLEY
05.2018 - 07.2018

Bachelor’s In Management Studies (Finance) -

H.S.C (12th) -

C.B.S.E (10th) -

Similar Profiles

CREATE PROFILE
AMANDA DOURADO