Charmi Sampat
Compliance professional ensuring adherence to regulatory requirements globally.
- Role
- Compliance & Control at Crisil
- Location
- Mumbai, MH, IN
- LinkedIn followers
- 500 followers
About Charmi Sampat
With over ten years of professional experience, I contribute to the global regulatory compliance requirements, SEBI, RBI, and FIU reporting while providing business advisory.Have handled compliance requirements for a SEBI registered Research Analyst and SEBI registered Credit Rating Agency. As a Research Analyst which provides Analytical Services to AIFs and Mutual Fund houses, we do look at the SEBI provisions impacting these businesses to cater to our clients. We also monitor developments in IFSCA.Additionally, my role involves, regulatory updates and implementation along side respective stakeholders, regulatory audits and inspection, Compliance monitoring, agreements & business advisories, AML/ CFT compliance reporting to FIU, training and awareness and Employee’s Personal Trading Compliances.
Experience
Compliance & Control
May 2024 — Present · Mumbai, IN
Business advisory and guidance, review of business agreements across various divisions- Products and Process Reviews in line with regulatory amendments- Ensuring compliance with all regulatory requirements both domestic and global.(SEBI, BSE, RBI, FIU)- Employee compliance w.r.t Personal Trading Policy Requirements in adherence to SEBI PIT Regulations- Global Financial Crime Compliance (AML Verifications, Screening, Monitoring transactions, sanctions & FIU Reporting- Regulatory Compliance with SEBI as a CRA, RA & Fiduciary.(filing reports, periodic submissions, implementing new Circulars, audits, etc.)- Adherence to Regulatory Compliance under both domestic and global laws through a 3rd party compliance monitoring tool- Conducting compliance trainings and awareness programs- Preparing compliance related Board agenda- Policies, formulation and periodic reviews- Complaints review and closure- Keeping track of regulatory developments locally and globally and their impact on businesses of the company, interacting with regulators of financial markets, regulatory disclosure requirements, organisation wide implementation of new regulations and circular- Preparing and updation of governance documents, regulatory inspection which includes conducting preparatory inspections and Audits.
Education
New Era High School and junior college
Central Board of Secondary Education
1998 — 2008
Indian Institute of Banking & Finance (IIBF)
Certification, Foreign Exchange Operations
National Institute of Securities Markets (NISM)
Certification, Currency Derivatives
The Institute of Company Secretaries of India
Certificate Course on Valuation of Securities/ Financial Assets , Valuation of Securities/ Financial Assets
University of Mumbai
Bachelor of Laws - LLB, Law
2013 — 2016
K.P.B Hinduja College of Commerce
Higher Secondary Education, Jr. College, Commerce
2008 — 2010
The Institute of Company Secretaries of India
Company Secretary, Corporate and Securities Law
2011 — 2016
JAI HIND COLLEGE, MUMBAI
B.Com - Mumbai University, Marketing/Marketing Management, General
2010 — 2013
Insurance Institute of India
Compliance Governance & Risk Management in Insurance, Insurance Compliance
2018 — 2019
Skills
- Powerpoint
- Team Management
- Marketing Strategy
- Management
- Leadership
- Public Speaking
- Microsoft Office
- Project Management
- Business Strategy
- Financial Analysis
- Due Diligence
- Entrepreneurship
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