● Conducted training for all firm personnel covering compliance bestpractices and quality control● Advised division leaders of regulatory risks in business, processedand provided recommendations for improvement● Structured programs, produced working documentation andimplemented best practices● Managed full life cycle of assigned audits in alignment withdepartmental procedures, delivering progress as well as closingreports to senior management● Prepared and presented comprehensive reports to upper managementand audit team, covering issues and recommendations● Developed and delivered training programs to inform new andcurrent employees about compliance issues● Managed compliance efforts, including correspondence, reporting andaudits● Evaluated customer complaints, processes and all other aspects ofoperations to assess compliance● Maintained current understanding of company standards andapplicable legal requirements● Maintained effective working relationships with regulatoryauthorities, suppliers and customers● Backed data security and information privacy efforts● Reviewed documents, files, transcripts and other records to assesscompliance and potential risk

● Helped create firm's global administration hub in Colombo, Sri Lankaand opened Customer Service Department at the Sri Lanka offices,including recruiting, hiring, training and management of team of 20administrators and customer service agents● Responded to client concerns and questions about portfolios andinvestment strategies● Contacted investment banks, fund houses, and other financial servicesfirms to obtain copies of files and discuss specific entries● Managed quality assurance program including on site evaluations,internal audits and customer surveys● Received training from MetLife, Zurich, Royal London and others to represent brand, explain technical functions of mobiledevices and guide product selection by customers● Worked with high net worth customers to understand requirementsand provide exceptional bespoke service● Worked with customer service agents to resolve problems, improveoperations and provide exceptional customer service● Supervised 20 customer service agents in providing excellentcustomer service via phone and email inquiry to each of the firmsinvestors

• Ran reports tracking portfolio performance • Compiled and analysed data on performance of financial markets• Liased with clients regarding requirements for account establishment and assisted them in achieving their fulfilment• Participated in client meetings and meeting follow-up• Responded to client questions concerning their accounts• Managed social media presence