Summary
Overview
Work History
Education
Skills
Languages
Affiliations
Timeline
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Rithika Mundra

Mumbai

Summary

Hello,

Rithika Mundra is a well-versed Compliance Officer with a solid background in AMER & EMEA E- Communication Surveillance who is known for her high productivity and efficient task completion. Skilled in Capital Markets, Alerts management, People skills. Excellent at communication and has a problem-solving attitude, ensuring smooth operational flow and staying ahead of evolving compliance landscapes.

Overview

3
3
years of professional experience

Work History

Compliance Officer

BNP Paribas CIB
Mumbai
07.2023 - Current
  • Reviewing internal policy breaches and any market abuse that occurred within the firm in the form of recorded emails, chats, and calls.
  • Hands-on experience in daily-used systems : RedOwl, Act One, and Bloomberg.
  • Initiates investigation when possible Non - Compliance takes place within the institution.
  • Conducted testing of software and systems to ensure quality and reliability.
  • Maintained strong relationships with internal stakeholders.
  • Worked successfully with a diverse group of LOD 2 (Line of Defense 2) coworkers to accomplish goals, and addressed issues related to backlog generation and alerts management in a timely manner.

Investment Banking Intern

RoboCapital
Mumbai
03.2022 - 06.2022
  • Reaching out to new investors via email and social media.
  • Onboarding investors and maintaining investor relationships.
  • Resolving investor queries.

Education

Investment Banking Operations Profession -

Imarticus Learning
Andheri
01-2023

Bachelor in Commerce (Accounting & Finance) BCAF - Accounting and Finance

Tolani College of Commerce
Andheri, Mumbai
03-2021

Skills

  • Knowledge of Capital Markets
  • Proficient in MS Office
  • Teamwork and collaboration
  • Ability to work independently
  • Attention to detail
  • Conflict management and resolution
  • Openness to feedback
  • Stakeholder meetings and engagement

Languages

Hindi
First Language
English
Proficient (C2)
C2
Marathi
Intermediate (B1)
B1

Affiliations

Member of BNPP Compliance Hub's - Funatics Committee.

- Good at creating Teaser's & Invites of the events.

- Brainstormed collectively as team while looking for activities.

Worked closely with different region to manage backdated alerts.

- Learned new team process.

Timeline

Compliance Officer

BNP Paribas CIB
07.2023 - Current

Investment Banking Intern

RoboCapital
03.2022 - 06.2022

Investment Banking Operations Profession -

Imarticus Learning

Bachelor in Commerce (Accounting & Finance) BCAF - Accounting and Finance

Tolani College of Commerce

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Rithika Mundra