Worked as a Registrations officer for EMEA region in Asia's leading Investment bank (Nomura). Managed global employee personal account trade monitoring processes (EMEA, ASIAPAC, Japan and US). Also managed yearly compliance policy affirmations and trainings. Also part of Compliance auditing.
Compliance Officer (Senior Analyst)
NOMURA SERVICES INDIA PVT LTD
May 2010 - April 2013
• Managing a team of eight employees supporting AEJ, US, Japan and EMEA Employee Compliance processes
• Handled Staff dealing rules for Australia, Hong Kong, Singapore, Ceejay(India), Thailand, Indonesia, China, Japan, UK and US regions
• Handled end to end process for Personal Account Dealing and FSA Registrations for EMEA Regions
• Handled Outside Business Interests Policy for Nomura International Plc, London.
• The interpretation, application and management of all FSA and European Exchange registration requirements for UK and EMEA region.
• Have successfully run projects for Employee Compliance Affirmation on Firm's policies like Personal Account Dealing policy, Outside
Business Interests Policy, FSA Approved Person policy and Code of Ethics policy
• Dealing with the UK Registrations monitoring programme including surveillance and the tracking and escalation of all relevant policy
• Undertook Significant Influence function FSA approval and withdrawals in the firm (Form A & C)
• Informing FSA regarding any kinds of Fitness and Proprietary issues of employees and other personal changes carried out via Form D
• As a Registrations Officer, represents Nomura entities in FSA for Nomura International Plc, Nomura Bank International Plc, Nomura
Alternative Asset Management & Nomura Investment Adviser LLP
• Dealt with employee FSA examination requirements and dealt with external vendor 7City for exam bookings / amendments / providing
• Close monitoring of employee trade monitoring and reporting breaches.
• Have been a part of the Compliance Training team for EMEA Support team
• Managed and headed a Compliance Affirmation project with 3 member team.
• Part of EMEA Control Room Compliance and Central Compliance for Nomura International Plc, London
• Well versed on monthly KRI reports and MIS reports
• Managed Gifts and Entertainment policy for EMEA region
• Conduct recruitments /...
GLOBALINSURE PVT LTD
January 2010 - May 2010
Global Insure Pvt. Ltd Company worked as a 3rd party insurance provider to United India Insurance Company which is a Government
Insurance Company (PSU)
• Dealt with third party banc assurance for UIIC - mainly in Corporate Insurance
• Handled Sales and Marketing for both United India Insurance Company and Global Insure as a broker
Customer Service Associate
WNS GLOBAL SERVICES PVT LIMITED
June 2008 - October 2009
• Represented Customer Service Associate for British Airways
• Handled all kind of Gold, Silver, Blue card and other non - card hold passengers queries on emails
• Dealt with Airline ticketing issues in terminals, baggage issues (damage / missing) and flight cancellation issues
• Issued refund cheques up to £1200 in baggage issues, airline ticket cancellation issues.
Qualifications & Certifications