Neeraj Iyer
Bangalore
Summary
Experienced Marketing Compliance Officer with a 7-year track record in AML, marketing review, and risk management. Currently heading the APAC region at State Street Global Advisors. Proven success in cross-functional collaboration, internal audits, and adherence to global compliance standards. Recognized for driving zero compliance violations and improving collaboration between compliance and marketing teams. Stay up-to-date with APAC regulations, including SFC, MAS, and ASIC.
Overview
7
7
years of professional experience
5
5
years of post-secondary education
4
4
Certifications
5
5
Languages
Work History
Marketing Compliance Officer (Team Lead)
State Street Global Advisors
Bangalore
02.2022 - Current
- Head the APAC marketing compliance team, ensuring zero compliance violations in the region
- Develop and implement marketing compliance policies and procedures aligned with APAC regulations, including SFC, MAS, and ASIC
- Lead the review and approval process for various marketing materials, ensuring compliance with industry standards
- Conduct compliance assessments, identify risks in marketing materials, and recommend corrective actions
- Collaborate with marketing teams to provide guidance on compliance requirements, facilitating the creation of effective and compliant content
- Conduct internal audits, implementing continuous improvement initiatives to enhance overall compliance posture
- Review High-risk Materials, including ESG-related marketing materials, and identify and help mitigate potential regulatory risks such as Greenwashing
- Perform a sweep review of the website to identify and report potential Greenwashing or material risks in ESG content
- Monitor activities of SSGA employees on social media, sending memos to policy violators.
Senior Name Screening Analyst
Standard Chartered
Bangalore
04.2018 - 01.2022
- Led the design and implementation of enhanced name screening processes, reducing false positive alerts
- Conducted investigations into potential matches, ensuring accurate identification of high-risk entities
- Provided subject matter expertise in the development and enhancement of screening algorithms
- Coordinated with global teams to standardize name screening procedures
- Developed and delivered training sessions for junior analysts, enhancing overall team competency.
Jr Audit Executive (KYC)
Muthoot Finance Limited
Surat
10.2016 - 11.2017
- Executed comprehensive KYC audits, ensuring adherence to regulatory requirements
- Collaborated with branch managers to identify and rectify deficiencies in KYC documentation
- Conducted periodic training sessions for front-line staff to enhance understanding and compliance with KYC procedures
- Assisted in the review and enhancement of KYC policies and procedures
- Achieved commendation for outstanding performance in streamlining KYC processes, resulting in a 20% reduction in audit discrepancies.
Education
Advanced General Management Program -
IMT Ghaziabad
10.2022 - 04.2023
Bachelor of Business Administration (BBA) -
Veernarmad South Gujarat University
06.2013 - 04.2016
Higher Secondary School, HSC -
Gujarat State Education Board (GSEB)
06.2012 - 03.2013
Secondary School, SSC -
Gujarat State Education Board (GSEB)
06.2010 - 03.2011
Skills
Regulatory Compliance
Certification
Tier 1 Managed Investment - General Investment - Regulatory certification/exam requirement from ASIC - The Australian Securities and Investment Commission. (RG-146)
Accomplishments
- State Street Global Advisors
- Successfully led the APAC marketing compliance team, ensuring zero compliance violations.
- Played a pivotal role in the timely launch of one of the biggest campaigns for the SPY ETF, receiving a Bravo award and cash vouchers worth $1000.
- Improved the relationship between the compliance and marketing teams, fostering better collaboration and communication.
- Standard Chartered, Achieved an award for maintaining 100% quality for four consecutive quarters, demonstrating commitment to excellence in compliance operations.
- Muthoot Finance Limited, Achieved commendation for outstanding performance in streamlining KYC processes, resulting in a 20% reduction in audit discrepancies.
Personal Information
- Date of Birth: 12/09/94
- Gender: Male
- Marital Status: Single
Disclaimer
I hereby declare that all the details furnished above are true to the best of my knowledge.
References
Available upon request
Timeline
Advanced General Management Program -
IMT Ghaziabad
10.2022 - 04.2023
Marketing Compliance Officer (Team Lead)
State Street Global Advisors
02.2022 - Current
Senior Name Screening Analyst
Standard Chartered
04.2018 - 01.2022
Jr Audit Executive (KYC)
Muthoot Finance Limited
10.2016 - 11.2017
Bachelor of Business Administration (BBA) -
Veernarmad South Gujarat University
06.2013 - 04.2016
Higher Secondary School, HSC -
Gujarat State Education Board (GSEB)
06.2012 - 03.2013
Secondary School, SSC -
Gujarat State Education Board (GSEB)
06.2010 - 03.2011