Asha Venugopal
Compliance Officer
Mumbai
Summary
Detail-driven Compliance Officer focused on maximizing company compliance with applicable laws and standards. Knowledgeable about internal controls, process evaluations and procedural reviews. Proficient in MS office .
Overview
15
15
years of professional experience
5
5
years of post-secondary education
Work History
Sr Executive
Geojit Financial Services Ltd
Mumbai
01.2011 - Current
- Developed and maintained system for tracking and reporting compliance violations.
- Monitored and assessed compliance risks associated with operational processes and procedures.
- Prepared and submitted regulatory filings in timely manner.
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Collaborated with sales and marketing departments and other business units to address indications of improper sales practices and market conduct violations.
- Investigated and documented all violations of compliance regulations to determine necessary improvements.
Sr Executive
Arcadia Share And Stock Broking
Calicut
02.2009 - 12.2010
Education
Master Of Business Administration - Human Resources Management
Sikkim Manipal University
Gangtok 04.2014 - 03.2016
BA Sociology - Sociology
BCM College
Kottayam 06.1997 - 03.2000
Skills
N
Fraud investigation
Report preparation
Investigation tactics
Timeline
Master Of Business Administration - Human Resources Management
Sikkim Manipal University
04.2014 - 03.2016
Sr Executive
Geojit Financial Services Ltd
01.2011 - Current
Sr Executive
Arcadia Share And Stock Broking
02.2009 - 12.2010
BA Sociology - Sociology
BCM College
06.1997 - 03.2000