Pooja Thakkar
Compliance Consultant @Rqc Group
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WORK HISTORY
Compliance Consultant @Rqc Group
London, GB
EDUCATION
University of Mumbai
Bachelor of Commerce (B.Com.), Business/Commerce, General
The Institute of Company Secretaries of India
Company Secretary
Government Law College, Mumbai
Securities Law
ABOUT POOJA THAKKAR
10 years of progressive experience in fields of regulatory compliance, compliance monitoring and compliance audit with demonstrated specialization in Financial Services industry- 5+ years of Compliance Monitoring experience in Asset Management industry- 4+ years of Assurance experience working with leading Stock Exchange for compliance audit of brokers in derivatives segment- 2+ company recognition awards for continuous improvements- Proven ability to research and streamline processes independently while working with cross functional teams in an ever-changing industry landscape. Specialties:Compliance Monitoring I Compliance Audit I Regulatory Compliance ICorporate Governance I Anti-Money Laundering (AML) I Securities Law I Stock Exchange Compliance I Audit and Assurance I Derivatives I
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