Ladlee Bhatia
Delhi
Summary
Dynamic compliance professional with a proven track record at BlackRock, excelling in employee monitoring and regulatory oversight. Adept at stakeholder engagement and process improvement, I have enhanced efficiency through macro optimization and training initiatives. Recognized for my attention to detail and problem-solving skills, I drive compliance excellence and foster team development.
Overview
7
7
years of professional experience
Work History
DELIVERY LEAD
Acuity Knowledge Partners
09.2024 - Current
- Executed core compliance reviews for Personal Account Dealing, Gifts and Entertainment, and Outside Business Activity for the client.
- Ensured regulatory requirement adherence, identifying non-compliance alerts and managing escalations.
- Contributed to compliance documentation, restricted trading lists, presentations, and standard operating procedures.
- Recommended macro development to improve process efficiency for clients.
- Coordinated with third-party vendors to enhance code of ethics monitoring systems.
- Provided training and mentoring as Subject Matter Expert for Code of Ethics.
ANALYST 05/2021-12/2023 ASSOCIATE
BlackRock Services India Private Limited
01.2024 - 09.2024
- Monitored employee compliance activities related to Personal Trading, Outside Activity, Gifts & Entertainment, and Private Investments.
- Conducted regular surveillance of alerts for employee transactions, managing cases, identifying patterns, and resolving issues.
- Coordinated with regional stakeholders to align processes globally and resolve escalations effectively.
- Collaborated with external vendors to address technological issues impacting data inflow into the system.
- Served as Global Subject Matter Expert for Personal Trading Policies and Procedures.
- Supported dissemination of Management Information to boards and senior management while updating metrics and conducting risk-based analysis.
- Trained and mentored new team members, addressing queries and facilitating their onboarding process.
- Enhanced efficiency in statement monitoring by optimizing macro tool usage and streamlining data load error processes.
FRAUD & RECONCILIATION ANALYST
Royal Bank of Scotland
11.2018 - 12.2019
- Reconcile the outstanding entries in the suspense account, and take appropriate action on the entries. Chase's team should rectify errors.
- Verify the write-off in the bank's suspense account, manual accounts, including the General Ledger and ATM accounts. Reconcile the SBTs within the SLA.
- Cross-trained in the debit representment cycle under whip.
- Spot Ovation twice for being trained in chasers and non-chasers with efficiency.
- Star of the Week five times for the completion of the given task within SLA
Education
Bachelor of Arts - ECONOMICS
University of Delhi
Delhi06-2018
Skills
- Employee compliance and monitoring
- Conflict of interest
- Regulatory compliance and oversight
- Stakeholder engagement and collaboration
- Risk assessment
- Management Information
- Employee training
- Process improvement
- Team leadership
- Presentation skills
- Problem solving
- Attention to detail
Accomplishments
- Upskilling attention to detail (Apr 2025 - present)
- Platform migration from PTA to My Compliance Office (Sep 2023 - Sep 2024)
- India compliance refresher session (Jan 2023 - Dec 2023)
- Global Core Compliance Masterclass (April 2023 - November 2023)
Internships
- Meetings and offices - Operations & Business Development Intern (Dec 2020 - May 2021)
- World Culture Forum- Research Intern (Aug 2018- Sep 2018)
Timeline
DELIVERY LEAD
Acuity Knowledge Partners
09.2024 - Current
ANALYST 05/2021-12/2023 ASSOCIATE
BlackRock Services India Private Limited
01.2024 - 09.2024
FRAUD & RECONCILIATION ANALYST
Royal Bank of Scotland
11.2018 - 12.2019
Bachelor of Arts - ECONOMICS
University of Delhi
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