Aastha Dalal

Experience

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  IIFL (India Infoline Group)

  Oct 2021 - Mar 2023

  Senior Compliance Officer

  Monitoring all operational processes and procedures using a compliance management platform to ensure that organization complies with all the regulations and ethical standards.Liasoning/co-ordinating with regulators like RBI, SEBI etc. for ad-hoc requirements and inspection purpose.Adhere to regulatory reporting guidelines/Directions and filing of various RBI returns on Financial parameters (FLA, RDB, DNBS01, NBS-7 etc).Reporting and monitoring of financial frauds occurred within the organisation or group companies.Analysing and updating existing compliance policies (Business Policies) and providing final sign-off for further business impact. Preparation of periodical presentation (PPT) for board meeting on major regulatory/compliance updates and co-ordinating with statutory auditors on data requirements. Analysing accounts identified by Anti-Money Laundering (AML) software identifying high risk behaviours of borrowers and clear such alerts or escalate such cases when necessary to FIU-IND.Preparing MIS reports on various matters such as correspondence with regulators, Financial ratios, applications, returns filed etc.Kept track of regulatory deadlines/due-dates of various reportings and adhereing the same within the timeline.Due diligence of portfolio companies enabling management to take informed decision on investment. Show less