August – December . The Royal Bank of Scotland RBS – London, UK
Compliance Officer – Global Control Room Operations EMEA
> The Global Control Room is responsible to detect and prevent the misuse of Unpublished Price Sensitive
Information through the administration and monitoring of GBM’s Chinese wall procedures to safeguard the
Bank from any risks.
> Maintenance of Global Marketing, Watch List and Restricted List, as required by The Market Abuse Directive
> Coordinating with Compliance BU, Regional coordinators and Local Compliance LC working towards
quick responses to answer queries that arise from the business or local compliance as to the meaning or various
restrictions that are in place.
> Recording of Chinese Wall Crossings where we crossover the Research Analyst by giving him temporary access
to Private side from Public Side and vice versa. Identification and escalation/ Clearance of Potential conflicts of
Interests as well as providing advice and monitoring of Regulatory Developments and maintaining a central
register of Insider Lists for completed transactions.
May – August . Lillywhites Sports Direct.com London, UK
Customer Service Assistant
> Work out entire merchandising, ordering and maintenance features along with necessary cash and inventory
control as Till Operator.
> Filling up the display racks as well as Assist the supervisor to take account on stock lists and display products.
> Provide assistance to customers on their queries and products.
February –February . Credit Suisse – Pune
Associate – Control Room Operations Compliance Control Unit
> The Control Room Operations Department is responsible for the Compliance Reviews, Collection, processing
and Monitoring of Employees Personal Account Dealing data.
> To ensure all Deal Preclearance Requests are processed within the accepted turnaround time.