
Detail-oriented Financial Services Professional with 2 years in U.S. brokerage operations, focused on regulatory processes and client case analysis. Holds MBA and certification in Investment Banking Operations, with expertise in AML/KYC, derivatives, trade lifecycle, and corporate actions. Skilled in risk identification, issue analysis, and escalation management, ensuring compliance with regulatory guidelines.
Key Responsibilities:
Key Achievements:
Key Responsibilities
AML / KYC Compliance & Fundamentals
Compliance Documentation & Audit Readiness
Complaint Resolution
Escalation Management
Client Case Analysis & Problem Solving
Attention to Detail & Analytical Thinking
MS Excel, MS Office
Sale Representative officer
Tanishq (18th sept 2020 to 15th Nov 2020).
Roles & Responsibilities:
· Customer service,
· Customer relationship management and
· Retail operations