Sangeeta Amin

• Conduct risk based reviews of the sales unit and provide accurate and timely feedback to the units and central office
• To review compliance to policies and processes through regular reviews
• Check adherence to the Governance and
• Operational Risk framework within the business units
• Provide assurance that controls are being managed appropriately in a proactive, risk based and disciplined manner meeting external, internal and regulatory requirements
• Regulatory, Operational Risks and Group Policies are enforced across the business units

Assist Business Head in coordinating, driving and directing effective compliance and operational risk management at the Business Unit level

Implement controls within the Business unit to meet all regulatory and internal requirements

Ensure proper functioning of day to day controls, periodic monitoring activities and timely resolution of risk issues

Identify gaps and arrange training in compliance

• Conduct risk based reviews of the sales unit and provide accurate and timely feedback to the units and central office
• To review compliance to policies and processes through regular reviews
• Check adherence to the Governance and
• Operational Risk framework within the business units
• Provide assurance that controls are being managed appropriately in a proactive, risk based and disciplined manner meeting external, internal and regulatory requirements
• Regulatory, Operational Risks and Group Policies are enforced across the business units
• Ensuring all sales units have documented and standardized Sales Operating Procedures
• Standardized HR standards and policies approved by Legal and Compliance have been implemented across all the business units
• Defining the MIS criteria and parameters for all sales units and the periodicity of tracking the same
• Ensuring standardized process and templates are followed.
• Compliant capturing, Mis selling, call back processes etc
• Responsible for providing feedback to the senior management.
• Raising any issues or gaps to the Head Assurance
• Building a Review tracker for the entire year for all units

• Used advanced software to prepare documents, reports, and presentations.
• Handled confidential and sensitive information with discretion and tact.
• Updated spreadsheets and databases to track, analyze, and report on performance and sales data.
• Transcribed meeting minutes to support sales, business development and senior management teams.
• Supported business and hospitality needs of corporate partners and staff during meetings and company events.
• Managed executive calendars, scheduling meetings and appointments and coordinating travel arrangements to optimize time.
• Worked with senior management to initiate new projects and assist in various processes.
• Handled logistics, catering, agendas and travel arrangements for meeting and event planning for board of directors, president and executive vice president.
• Coordinated events and worked on ad hoc projects.
• Streamlined operations and prioritized tasks, allowing senior staff to increase productivity.