Birju Shah

WORK HISTORY

EDUCATION

SKILLS

ABOUT BIRJU SHAH

Prudent risk management forms the backbone of firm decisions in the highly regulated investment industry. Being a steady compliance hand translates to support sound decision making with influence and authority. Managing compliance regimes in a banking environment is unique with competing priorities, stakeholders and reporting relationships. As the regulatory expectations of firms, officers & approved persons evolve over time, so evolves the role of compliance. While the focus of compliance teams remains on risk management, the interaction with stakeholders and delivery of frameworks has evolved significantly from a unilateral approach to a partnership approach. Today’s registrant has multiple, often competing asks from different areas of the business and the importance of having a compliant practice has become valuable. A partnership approach allows the client facing staff to remain compliant while reducing administrative burden and exposure to personal and firm risk. Compliance leadership needs to be agile in order to deliver training tailored to a registrant’s practice. A collaborative approach is one that allows for a firm to meet compliance requirements while balancing the needs for the training to be relevant, current and innovative by translating regulations into plain language.