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- Portfolio Compliance – Monitoring Investment guidelines in compliance system- Ethics Office – Administering code of ethics as per the Investment advisory act 1940- Program & Support Office – Administering regulatory requirements(GRC Model)- Securities Finance Compliance team – Monitoring the operations of Securities Lending

 Operations & Quality Control -Team Leader, DC Retirement services Handled reconciliation of retirement accounts.The objective of this process is to minimize regulatory, financial and reputation risk for the Organization and its clients Manage 12 -15 member team of Specialists, Sr. Specialists & Work-Group Leads in a QC team; supporting the transaction processing team, which is involved in processing the redemption of funds from Defined contributions Retirement account. Identifying the challenge areas in process/ people and formulate strategies to fix the same. Performing Talent Risk Analysis, monthly 1:1 & performance reviews. Plan careers movements for the team members based on the skill and competencies. Working closely with the US partners in planning and execution of process improvement strategies to achieve the organization goal Publish weekly and monthly scorecard - 100% Compliance and 100% Quality Check

Profile: Sales Team Manager. Recruiting Insurance consultants. Leading the team of 22 consultants. Training the consultants on marketing skills and conducting orientation programs on customer service. Formulating annual business strategies for the team. Conducting weekly workshops and monthly unit meeting, to discuss about the business procured and further plans. Giving corporate presentations about our services and products that we offer, to develop business and reach targets.