Smita Chari, Cams Email & Phone Number

A Compliance and Risk professional with an enriching experience spanning 15+ years in the financial services industry. My unique combination of regulatory and business experience in the compliance space has highly augmented my understanding of regulatory risk assessment and examination processes from both perspectives - with planning, leading and conducting regulatory examinations for a US Regulator (FINRA), as well as advising on regulatory compliance and managing responses to regulatory examinations while working for Broker Dealer/Investment Advisor Firms. In addition, I also bring with me risk management experience at a Bank/ Broker Dealer where I helped the firm in redesigning a RCSA program, evaluating risks with business heads and assisting in designing controls to mitigate the risks. Firms face demanding & complex regulations and risks that can trigger huge fines and penalties while threatening the reputation and sustainability of its business. I am able to leverage my experience in the regulatory compliance and risk management field to help guide firms and navigate the risk, legal and regulatory environment within the financial industry.I possess excellent people management and leadership skills gained through successful managerial experience. Over the years, I have was able to demonstrate building trusting relationships with stakeholders after having worked closely with diverse personalities and cultures across the Americas, Europe and Asia.Key strengths and expertise: Regulatory compliance, compliance advisory, Anti-money laundering, FINRA - Series 99 (Operations Professional Examination) certified, Risk assessments, RCSA (Risk and Control Self Assessments), Thomson Reuters GRC (Governance, Risk and Compliance), Data governance, Exchange Entitlements/ Systems Access controls, Price/Contractual negotiation, Contract Management, Procurement and market data sourcing, Management reporting, Market Data Cost Reduction, Market Data Compliance, Reference data, Vendor Management, Inventory Management, Reuters DataScope Suite, Invoice Processing , People Management.BancWest Investment Services is a registered broker/dealer, Member FINRA/SIPC, and SEC Registered Investment Advisor. BancWest Investment Services is a subsidiary of BMO Harris Bank N.A. BancWest Investment Services does not endorse or adopt comments posted by third parties. Comments posted by third parties are their own, and may not be representative or indicative of others' opinions, views, and experiences. Investments NOT FDIC INSURED * NOT BANK GUARANTEED * MAY LOSE VALUE

Listed skills include Market Data, Reference Data, Financial Markets, Derivatives, and 22 others.