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Work History

Jan 2015Present

Compliance Manager

CMS Brokers

 My job responsibilities include but reporting to SCA and FATCA on regular basis as well as monthly reports to CEO.   Look after company's internal and external compliance, AML, corporate governance, and risk activities and work closely with regulators.  Review and sign off the account opening documentation and client on boarding due diligence checks in accordance with KYC procedures and regulatory requirements. Managing key compliance systems such as Customer Screening, Transaction Screening, AML Monitoring.  Ensure compliance with prevailing local as well as international laws.  Develop, initiate, maintain and revise policies and procedures for the general operation of the Compliance Program.  Amending the compliance manual and all associated documents as and when required. Providing oversight of Compliance for the business and external clients in order to identify, monitor and manage regulatory risks.  Ensuring adequate systems, controls and procedures are fully documented and in place to cover all areas of the business. To advise management, during the inception of new business processes, of the underlying integrity and compliance implications of these processes.  To act as a central repository of all information on rules, codes and business practices and ensure dissemination to all appropriate people in the organization.  To ensure that the compliance policies and procedures are observed and breaches, if any, are remedied immediately and disciplinary actions, if required, are taken against the personnel responsible for the breach.  To report to the Board on compliance issues, and assist the senior management to make an informed judgment on the effectiveness corporate-wide compliance policy.   To liaise with the Finance Officer to ensure accuracy of financial recording and compliance with established accounting standards. To ensure that all requests and instructions of regulators are complied with in a timely and accurate manner.  To ensure that all registrations with DMCC/DGCX/SCA and other regulatory authorities are current and up to date.  To work with the legal advisers and ensure that valid agreements with contracting parties or counter parties are put in place for new business initiatives. 

Feb 2014Dec 2014

Business Executive

S & S Brokerage House

Designed standard operating procedures to streamline the KYC procedures in the company keeping in view the regulatory rules and policies around compliance and AML functions. Also performed excellent client support and ensured successful client on-boarding and retention. Approached potential customers and presented them our products and services with the aim of nurturing prospective business and converting them into long term business relationships. Delivered MT4 trading platforms to the clients and solved clients’ queries and delivered solutions to clients’ problems.

Dec 2009Oct 2013

Team Developer

Bank of America

Develop strategies to build long term relationship with clients & customers with the help of a team of 20 Members in finance collections management. Team Development , Relationship Management, Financial Credit Business Management , International Business Management & Work environment. Interacted with customers and clients in managing their credit financials. Worked closely with Call Center employees in improving the process. Served various roles across multiple functions center level management. 

Aug 2007Dec 2009

Sr Executive


Design customer focused environment with excellent customer service delivery with the help of Team Members. Customer Account management with financial records updating and service delivery within strict SLA. Work with clients to identify the best customer pool to meet their needs. Utilize diverse strategies including social media, Internet In-house database searches, networking and cold-calling. Design strategic projects for International service delivery.



Master of Business Administration (M.B.A.)

ICFAI University
Diploma, Post Graduate Diploma and Degree in International Business and Trade. Have also attended short term course in Investment Banking and earned Certificate for the same.

Bachelor's Degree

DBS College


Organizational Skills

Multi tasking and working within timelines.

Effective Communication and Presentation Skill
Business Development
Risk Management
Portfolio management
Forex technical and fundamental analysis


Advanced Excel & Power Point

Investment Management

Six Sigma Training


Compliance Training CODO

DGCX & Bank of America