Anushka Garg
Jaipur
Summary
Law graduate with a commerce background, specializing in legal and compliance sectors. Proven expertise in RBI NBFC regulatory monitoring, IRDAI corporate agent audits, and vetting legal contracts. Certified in AML/KYC and currently serving as a senior executive in compliance, with prior experience in stock broking and derivatives trading.
Overview
1
1
Certification
3
3
years of professional experience
Work History
Senior Executive Compliance
Kogta Financial India Limited
Jaipur
09.2025 - Current
- Monitor and implement RBI regulatory updates including circulars, master directions, notifications, and press releases, ensuring timely compliance.
- Develop and maintain compliance trackers, checklists, and monitoring frameworks for RBI directions, internal policies, and regulatory requirements.
- Draft, review, and update internal policies in alignment with applicable regulatory and business requirements.
- Manage AML alerts and filed STR (Suspicious Transaction Report) and CTR (Cash Transaction Report) including monitoring, validation, and regulatory reporting to ensure timely compliance.
- Execute compliance testing, control reviews, and gap analysis as per Insurance Regulatory and Development Authority of India (IRDAI) Corporate Agent guidelines, including audit of operations and filing/submission of statutory returns on the IRDAI portal.
- Review vendor, service, and corporate agreements to ensure regulatory compliance by identifying risk clauses and managing end-to-end contract lifecycle including drafting support, execution, amendments, renewals, and documentation control.
- Manage end-to-end Wilful Defaulter accounts, including data validation, preparation and issuance of notices, conducting Identification Committee proceedings for classification of Wilful Defaulters.
- Manage compromise settlement proposals, coordinate internal approvals, and prepare agenda notes and presentations for Board review and approval.
ALGO Trader
Finesse Stock Broking Services Private Limited
Jaipur
01.2024 - 07.2025
- Assisted in developing and running algorithmic trading strategies for equities and derivatives.
- Gained hands-on experience with options strategies such as short straddle, strangle, bull call, and bull put spreads.
- Learned fundamentals of statistical arbitrage and contributed to small-scale back testing projects.
- Used basic technical indicators and price action patterns to support trade decision-making.
- Supported the generation of daily reports, including Mark-to-Market (MTM) and slippage analysis, for performance tracking.
- Monitored trades and system performance, escalating issues to senior traders when needed.
Education
LLB - Law
St. Wilfred's PG College
Jaipur, India10-2025
B.com - Commerce
Kanodia Girls PG College (Rajasthan University)
Jaipur, India07-2022
Skills
- Regulatory compliance and monitoring
- Regulatory reporting
- Microsoft Excel, Word, Outlook, and PowerPoint
- AML and KYC compliance
- Interpretation of laws
- Contract management
- Effective communication
- Team collaboration
- Trade execution
- Lexcomply tools
Certification
- Certificate in Anti-Money Laundering Course on AML, KYC, CDD, EDD Compliance, Udemy
- Personality Development Course Program, Younity
Accomplishments
- Streamline the IRDA Corporate Agent Compliance through systematic checklist and regularising the returns on the agency portal
- Develop the checklist for RBI new Master Directions for checking compliances across the departments
- Worked on filing the STRs with FIU India
Timeline
Senior Executive Compliance
Kogta Financial India Limited
09.2025 - Current
ALGO Trader
Finesse Stock Broking Services Private Limited
01.2024 - 07.2025
LLB - Law
St. Wilfred's PG College
B.com - Commerce
Kanodia Girls PG College (Rajasthan University)