Summary
Overview
Work History
Education
Skills
INTERNSHIPS
Accomplishments
LANGUAGES
Certification
Hobbies
Timeline
Generic
Shraddha Shetty

Shraddha Shetty

Mumbai

Summary

Emerging Compliance Professional with 6 years of experience in upholding regulatory standards and legal requirements. Proven track record in managing Regulatory Licensing inquiries and conducting comprehensive risk assessments, leading to the development of effective compliance strategies that safeguard organizational integrity. Highly organized and detail-oriented, adept at navigating the evolving regulatory landscape to mitigate risks. Committed to continuous professional growth and enhancing compliance frameworks through collaborative teamwork and alignment with company policies.

Overview

6
6
years of professional experience
1
1
Certification

Work History

Director (AVP), Legal and Compliance

Morgan Stanley
09.2019 - Current
  • Progressed from Compliance Analyst to Compliance Associate in January2022, and most recently promoted to Compliance Director (AVP) in January2025, within the Legal and Compliance Division.
  • Lead and manage all aspects of compliance operations for financial advisors, ensuring adherence to FINRA and NFA regulatory standards.
  • Spearhead the development and execution of compliance strategies for employee licensing and registration, enhancing operational efficiency and reducing compliance risks.
  • Oversee and coordinate the completion of pre-hire compliance checks, including regulatory disclosures and licensing reviews, in close collaboration with HR and business partners.
  • Lead cross-functional teams to facilitate the smooth onboarding of financial advisors, ensuring they are properly licensed and ready to conduct business upon joining the firm.
  • Played a pivotal role in streamlining branch registration processes and maintaining accurate records, ensuring continuous compliance with all relevant regulatory bodies.
  • Actively manage licensing transfer processes, ensuring timely updates and smooth transitions for financial advisors within the firm.
  • Demonstrated exceptional leadership in overseeing projects, such as the summer program, ensuring employees are licensed in compliance with their respective roles.
  • Regularly analyze and generate regulatory reports for internal and external stakeholders, driving continuous improvements to reporting processes and aligning compliance operations with business objectives.
  • Collaborated closely with branch risk officers and other key stakeholders to enhance registration processes, improving overall efficiency and regulatory adherence.
  • Contributed to the firm’s success by ensuring regulatory compliance for financial advisors, directly supporting their ability to operate without delays.
  • Coordinated with HR to ensure that new hires met all compliance requirements prior to onboarding, contributing to a seamless hiring process.

Analyst, Legal & Compliance

Optimum InfoSystem Pvt Ltd (Client - Morgan Stanley)
11.2018 - 09.2019
  • Played a Pivotal role within the Employee Trading Team, specializing in the review of financial account statements for Morgan Stanley Employees
  • Managed the pre-approval process for trades and accounts, ensuring compliance with company policies and regulatory requirements
  • Implemented a rigorous process for checking the restricted list to guide statement reviews and identify potential issues
  • Assisted in the closure of external business accounts to maintain compliance with company policies
  • Conducted a comprehensive review of the policies for each business unit and region, offering guidance and support to internal employees while flagging any policy violations within trading accounts
  • Managed the process of reviewing and approving outside business accounts, ensuring compliance with company policies and regulations
  • Conducted in-depth assessments of the associated risk and benefits of each business account application
  • Contributed to the development and improvement of approval procedures to enhance efficiency and risk management
  • Conducted thorough follow-up and review of accounts statements to ensure accuracy and compliance with financial regulations
  • Managed daily reports and performed comprehensive reviews to identify discrepancies and potential issues

Education

Masters of Commerce -

Mumbai University
01-2019

Post-Graduation In Applied Finance And Accounting (Diploma Course) -

NIIT
01-2017

Bachelors In Management Studies - Majors: Finance

K.P.B Hinduja College Of Commerce And Economics
01-2017

Higher Secondary Certificate -

Patkar College
01-2014

Secondary School Certificate -

St. Thomas Academy
01-2012

Skills

  • Leadership
  • Communication
  • Time Management
  • Team Building
  • Problem Solving
  • Decision Making
  • Risk Management
  • Microsoft Office
  • Adaptability
  • Creativity and innovation

INTERNSHIPS

Dun & Bradstreet, India, Mumbai ( March 2018 - October 2018 )

  • Conducted comprehensive analysis of the company’s credit rating, including a review of financial statements, credit history and relevant data.
  • Assessed the company’s financial health and creditworthiness, providing insights into its ability to borrow and invest.
  • Developed skills in financial analysis, risk assessment, and decision-making while working with a team of experienced professional.
  • Gained a deep understanding of the factors influencing credit ratings and their impact on the company’s financial strategy.


S.V. Nene & Co Chartered Accountants, India, Mumbai ( April 2016 - May 2016 )

  • Analyzed financial statements of various companies to assess their financial health, including income statements, balances sheets, and cash flow statements.
  • Conducted comprehensive audits of company accounts and bank statements.
  • Maintained a commitment to precision and integrity in financial analysis and audit procedures.

Accomplishments

    Recognized for exceptional performance and dedication within the legal and compliance division. Showcased exceptional teamwork and came up with process innovation ideas. Demonstrated a strong work ethic,combining professional excellence with a passion for sports.

  • Morgan Stanley - Legal & Compliance - Spot Reward - 2021 , Mumbai
  • Morgan Stanley - Legal & Compliance - Spot Reward - 2023, Mumbai
  • Morgan Stanley - Legal & Compliance - Spot Reward - 2024, Mumbai

LANGUAGES

English
Hindi
Marathi
Tulu

Certification

  • GST Certification, Tally
  • Legal & Compliance Academy , Morgan Stanley ( May 2023 — October 2023 )

Hobbies

  • Dancing
  • Photography
  • Creative Crafting

Timeline

Director (AVP), Legal and Compliance

Morgan Stanley
09.2019 - Current

Analyst, Legal & Compliance

Optimum InfoSystem Pvt Ltd (Client - Morgan Stanley)
11.2018 - 09.2019

Masters of Commerce -

Mumbai University

Post-Graduation In Applied Finance And Accounting (Diploma Course) -

NIIT

Bachelors In Management Studies - Majors: Finance

K.P.B Hinduja College Of Commerce And Economics

Higher Secondary Certificate -

Patkar College

Secondary School Certificate -

St. Thomas Academy

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Shraddha Shetty