Reema Maru work email
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Reema Maru personal email
Compliance Professional with 14 years’ experience in the financial services industry. I have worked for a leading Life and Pensions firm, a global Asset Manager, a global Investment Bank and a smaller advisory and discretionary Private Wealth Manager, CFD brokerage and an advisory Stockbroker.I have successfully obtained the Diploma in Investment Compliance and have a wealth of experience of working on building and maintaining a robust compliance framework, ensuring regulatory compliance and compliance monitoring.I have provided training sessions on various topics such as regulatory obligations, SM&CR, Data Protection, AML, Bribery and Corruption.I have led on implementing Consumer Duty and I am well versed with AML/ ABC/ CFT, MiFID II, SM&CR and the FCA Handbook.I provide compliance support, compliance health checks, training, developing monitoring programs and I can work on ad hoc projects. I help wealth managers, brokers, investment firms and hedge funds. For compliance support or advice, please get in touch!
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Compliance ManagerMaseco Private WealthLondon, Gb
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Chief Executive/ DirectorMj Compliance Solutions Nov 2023 - PresentExperienced Compliance Professional. Independent Compliance Consultant.MJ Compliance Solutions provides ad hoc compliance support, health checks, training, monitoring, project work, outsourced SMF16 and 17 and compliance support.Message for further details/ Compliance support in relation to ad hoc or ongoing projects. -
Compliance ManagerMaseco Private Wealth Nov 2022 - Nov 2023London, England, GbMASECO Private Wealth is a private wealth manager providing advisory and discretionary services to UK/US high net worth individuals.Acting as Deputy Nominated Officer.Providing advice to all departments on regulatory matters.Designed, rolled out and oversee Compliance Monitoring Framework.Worked on Consumer Duty implementation throughout MASECO's policies and procedures.Review of various marketing collateral.Driving efficiency throughout various compliance processes i.e. senior management reporting, signing off on higher than average risk clients and compliance monitoring.Fostering good working relationship with other departments such as Client Services, Marketing, Investment Management, Operations, Wealth Managers.Managing annual fit and proper process under SM&CR.Filing of regulatory returns i.e. AIF001, AIF002, CRS, ADV Form 1 and 2
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Compliance ManagerRothesay Life Oct 2016 - Oct 2022London, London, GbRothesay Life is a leading pensions annuities firm specializing in pensions de-risking whilst managing risk via its trading desk and asset origination desk.Worked closely with the Asset Origination team and built strong relations with the Trading team.Delivered the annual compliance monitoring plan through thematic reviews and ad hoc reviews.Led on regulatory horizon scanning including identification, assessment, communication and tracking of the regulatory change.Collated information and submitted FCA regulatory returns via RegData.Maintained Restricted list and acted as gatekeeper to wall crossings and market soundings.Provided training to new joiners and conducted firmwide training on regulatory topics.Interacted with PRA and FCA on regulatory queries.Conducted fit and proper assessments under SM&CR.Managed conflicts of interests i.e. PAD, G&E, OBI -
Compliance Officer (Contract)N+1 Singer May 2016 - Oct 2016London, GbCorporate Finance AdvisoryActed in an advisory fashion on day-to-day compliance queries from Sales Trading,Operations, Finance, Corporate Finance and Research.Carried out project work on MAR and MIFID II.Made necessary short selling disclosures, and disclosures to the Takeover Panel and completed TR1 forms.Performed conflicts checks for new corporate finance clients/ transactions and personal account trading.Managed wall crossings.Administered and maintained insider lists, watch lists and restricted lists.Reviewed trading alerts generated through Liquid Metrix to identify MarketAbuse. -
Compliance (Contractor)J.P. Morgan Asset Management Nov 2014 - Apr 2016New York, Ny, UsPerformed monitoring reviews in accordance with the Compliance Monitoring Programme in different areas such as Price Monitoring, Market Abuse and Watchlist reviews.Produced reports of monitoring work undertaken.Reviewed and approved staff dealing requests in line with the Personal Account Dealing policy.Performed monthly and ad hoc surveillance reviews such as reconciling the banned and restricted lists.Administered and maintained the banned and restricted lists.Investigated banned and restricted list alerts on a T+1 basis.Dealt with daily compliance related queries and liaised with colleagues globally. -
Advanced Due Diligence Analyst (Contractor)Standard Bank Group Apr 2014 - Oct 2014Johannesburg , Gauteng, ZaI worked on an AML remediation project after the Bank was fined for AML failings.Conducted timely and accurate screening in order to identify PEPs, SDNs and adverse news linked to clients (new business and periodic reviews).Reviewed and analyzed a large amount of data promptly and efficiently generated from Lexis Nexis.Carried out investigations/ complex research in order to ascertain whether potential matches were actual matches and ensured that an accurate and comprehensive summary was written for each match. -
Compliance OfficerTibra Capital Apr 2013 - Apr 2014Austinmer, New South Wales, AuProprietary high frequency trading company.This was a generalist compliance role. -
Senior Compliance AssistantOne Financial Markets Mar 2012 - Apr 2013London, London, GbCFD Brokerage for retail and professional clients.This was a generalist compliance role. -
Compliance Monitoring OfficerCollins Sarri Statham Investments Ltd Aug 2010 - Mar 2012London, London, GbAdvisory stockbroker (Equities, CFDs).This was a generalist compliance role.
Reema Maru Skills
Reema Maru Education Details
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University Of SussexLaw With French
Frequently Asked Questions about Reema Maru
What company does Reema Maru work for?
Reema Maru works for Maseco Private Wealth
What is Reema Maru's role at the current company?
Reema Maru's current role is Compliance Manager.
What is Reema Maru's email address?
Reema Maru's email address is re****@****gan.com
What schools did Reema Maru attend?
Reema Maru attended University Of Sussex.
What skills is Reema Maru known for?
Reema Maru has skills like Kyc, Financial Regulation, Fsa, Financial Services, Aml, Tcf, Sanction, Compliance Regulations, Fatca, Compliance Training.
Who are Reema Maru's colleagues?
Reema Maru's colleagues are Godfrey O., Daniel Howard, Rebecca Palmer, Cfp™, Edward Howison, David Kelly-Eades, Katie Fosberry, James Sellon, Cfa.
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