Aastha Dalal

Aastha Dalal

Senior Compliance Officer

location of Aastha DalalBrampton, Ontario, Canada

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  • Timeline

  • About me

    Student at Algoma University • Graduate Certificate in Business Program • Former Senior Compliance Officer at IIFL Finance Limited • PGDM, Finance • Bachelor's in Banking and Insurance

  • Education

    • Nagindas Khandwala College

      2017 - 2020
      BBI - Bachelor of Banking and Insurance

      Activities and Societies: Deputy Chairperson of Motivational fest "REVIVE 2020" Deputy Chairperson of Cultural fest "SYMPHONY 2020" Vice Chairperson of Dramatic Event "ASPIRE 2019"

    • Algoma University

      2023 - 2024
      Graduate Certificate in Business Program Accounting and Business/Management
    • Welingkar Institute of Management

      2021 - 2023
      Post Graduate Diploma in Management Finance
  • Experience

    • 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

  • Licenses & Certifications

    • Introduction to Tally

      Nagindas Khandwala College
      Apr 2019
    • Stock Market Basics

      Zerodha
      May 2021
    • Grooming and Personality Development

      Kashida Fashion Institute
      Apr 2019
    • Fundamentals of Quantitative Modeling

      The Wharton School
      Jun 2021
    • Options Trading

      Zerodha
      Jun 2021
    • Financial Functions in Excel

      Nagindas Khandwala College
      Oct 2018
    • Technical Analysis

      Zerodha
      May 2021
    • Basics of Excel

      Nagindas Khandwala College
      Apr 2018