Geetu Bhatia
Compliance And Back Office Professional
Prague
Summary
Compliance Professional with 14 years of experience in Financial Sector with MBA in Finance.
Actively seeking new opportunities in and around Prague.
Open to full time onsite and remote job opportunities.
Living in Prague, Czech Republic with long term residence permit and open access to labour market.
Linked In Profile - https://www.linkedin.com/in/GeetuBhatia/
Overview
13
13
years of professional experience
5
5
years of post-secondary education
2
2
Languages
Work History
Compliance Manager
ICICI Securities, Mumbai
07.2009 - 12.2022
- Improved AML/ KYC compliance by conducting thorough customer due diligence and risk assessments.
- Conducted due diligence on new customers and existing customers, reducing potential risk of onboarding clients and ongoing due diligence purposes.
- Conducted thorough due diligence on high-risk customers by analyzing financial documents, public records, and negative news coverage.
- Performed regular compliance reviews and audits, identifying non-compliance issues..
- Monitored financial transactions and immediately reported suspicious activity to authorities.
- Prepared records and data for regular audits.
- Implemented effective compliance policies and procedures to meet regulatory requirements.
- Strengthened company-wide awareness of relevant laws, regulations, and industry standards through targeted trainings, presentations, and ongoing communication efforts.
- Developed and delivered training programs to inform new and current employees about compliance issues.
- Supported marketing team in review and submission of regulatory articles and newsletters.
- Evaluated third-party vendors'' adherence to applicable laws/regulations before engaging them as partners or service providers for company's projects.
- Kept new and modified products and services in conformance with security and compliance regulations.
- Reduced risk exposure for company by identifying and addressing areas of noncompliance.
- Investigated potential compliance violations and reported findings to senior management.
- Addressed compliance issues by developing and implementing corrective action plans.
- Enhanced overall business operations by continuously improving policies, procedures, and controls related to compliance requirements.
- Succeeded in maintaining positive relationship with regulators through proactive engagement and timely responses to inquiries.
- Collaborated with cross-functional teams to establish clear compliance guidelines and expectations for all departments.
- Supported implementation of new regulations within the organization by developing strategic plans and action items for each department.
- Developed comprehensive training programs for employees, fostering a culture of compliance throughout the organization.
- Managed time efficiently in order to complete all tasks within deadlines.
- Drove optimization of process improvements.
Education
MBA - Finance
Institute of Business Studies And Research
Mumbai, India 04.2006 - 03.2008
Bachelor of Commerce - Bachelor of Commerce
Punjab University
Punjab, India 04.2003 - 03.2006
Skills
Attention to Detail
Effective Communication
Fluent in English
Self Motivation
Attention to Detail
Decision-Making
Relationship Building
Conducting investigations
Multitasking
Time Management
Timeline
Compliance Manager
ICICI Securities, Mumbai
07.2009 - 12.2022
MBA - Finance
Institute of Business Studies And Research
04.2006 - 03.2008
Bachelor of Commerce - Bachelor of Commerce
Punjab University
04.2003 - 03.2006