Heena Dhingra

Experience

• 

  Bank of America

  Jan 2008 - Feb 2010

  Senoir Analyst

  • To resolve and settle the disputes of MASTER and VISA Cards before the arbitration, based on various documents provided by the issuer and merchant for a particular case. • Processing chargeback pertaining to fraud disputes pertaining to reason codes-37, 81,83,5542.• Working with the card providers and payment processors to represent and resolve the chargeback quickly and efficiently. • Research chargeback cases, obtaining proof of purchase like sales drafts and supporting documentation.• Decisioning in dispute of Master Card and VISA as per guidelines.• Quality auditor in the team and part of Compliance Audit Team for Merchant Services• Trainings new-hires and managing reporting for the entire team. Show less

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  Ameriprise Financial Services, Inc.

  Feb 2010 - Feb 2017

  • Business requirement gathering from different stakeholders• To develop, implement and monitor effective compliance processes basis business requirements• Conduct Scheduled & Unscheduled Policies & Procedure Reviews• Manage multiple and changing priorities, expectations and concerns while working closely with the business partners.• Regular reporting to business for process updates and other matrixes. • Maintain process documentation and generate various reports associated with the process. • Train new-hires and creating performance reports and metrics for higher management.• To escalate the possible regulatory and company policy violation to the authoritative level. Show less

  • Team Lead - Compliance (General Counsel Organisation)

    Jan 2014 - Feb 2017

  • Senior Analyst

    Feb 2010 - Dec 2014
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  Columbia Threadneedle Investments EMEA APAC

  Feb 2017 - now

  As a Compliance Manager, I lead a global team within the Global Compliance Monitoring Office. I conduct diverse monitoring and testing activities, ensuring the ongoing effectiveness of the regulatory control environment and compliance with internal policies. My role involves creating a comprehensive global compliance monitoring plan based on risk assessments, executing regional and global reviews (thematic, CCAT), and addressing areas such as G&E, regulatory filings, conflict of interest, financial crime prevention, and more. I consistently raise findings and implement actions, contributing to improved Compliance program efficiency. Proactively engaged in team initiatives, I adapt to the evolving regulatory landscape, maintaining a high level of knowledge to shape and enhance the Compliance Program. Show less

  • Compliance Manager

    Sept 2021 - now

  • Compliance Monitoring Officer

    Feb 2017 - Sept 2021
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  Ameriprise Financial Services, LLC

  Sept 2021 - now

  Compliance Manager