Veena Gadia Email and Phone Number

As compliance professionals with deep experience, we are here to make life easier for banking and other entities to navigate an increasingly complex regulatory environment. We bring to the table sound advisory insights and guidance, cutting edge tools and solutions and conduct efficacy reviews to help build necessary but cost effective compliance and governance framework for BFSI

● Spearheaded Corporate Finance Compliance for Deutsche Group India including Structured Finance and assisting Head of Compliance in overall functioning of department.● Overseen Compliance Testing team of DB AG India.● Reviewed all new products/structures of Corporate Finance from regulatory and reputation risk perspective including structured notes, cross border financing, distressed products etc. and issues related to conflict of interest.● Assisted the Head of compliance in overall compliance function including Regulatory Advocacy and keeping a track of all the Audit related issues.● Managed a team of 3 members.● Prior to Heading the Corporate Finance Compliance was heading the Global Markets Compliance (FIC) from 2007 to 2017 with special focus on Debt Capital Markets, Structured Finance, Fx and Commodities and Institutional Client Group.● Provided business with regular insights on emerging hotspots, horizon/strategic risk and concerns.● Handled Audit requirements for Internal, Statutory and Regulatory inspections conducted by Reserve Bank of India.

● Handled overall compliance function for wholesale Banking.● Ensured compliance with bank’s internal AML policies and procedures, as well as respective domestic and US AML regulations & OFAC Regulations. ● Ensured bank's policies & procedures comply with guidelines of mortgage lending, deposits & consumer lending including regulations such as Bank Secrecy & Fair Credit Acts. ● Monitoring and providing advisory services to help ensure that the business is conducted in accordance with local, U.S. and Bank of America’s internal laws, rules and regulations.

● Identified and analyzed various risks, developed risk management controls and contingency plans.● Evaluated existing policies, procedures and operational errors & limits and created contingency plans to manage crises situation.● Monitored nostro reconciliation and various exceptional reports. ● Prepared FX MIS and monitoring of FX Gaps.● Ensured compliance with internal control guidelines related to risk management. ● Liaised with Statutory / Concurrent and Head Office auditors. ● Analyzed risk / controlling issues in Precious Metal business.