Rohit Dagor

About Rohit Dagor

Currently working as a Compliance Analyst - Legal and Regulatory for Barbados…

Experience

1. Compliance Analyst

   Brookfield

   Mar 2025 — Present · Mumbai, IN

   Audit KYC documents for internal Treasury and Corporate clients. This includes thorough review and periodic screening checks. The process ensures regulatory compliance is maintained.It also helps keep client records accurate and up to date.• Conduct annual renewals and detailed reviews of our compliance policies and procedures, promptly implementing any necessary changes to ensure our operations consistently meet regulatory standards.• Updating the Board of Directors on policy changes issued by the regulatory watchdog and associated regulatory organizations.• Process client license renewals promptly. Our approach is proactive and efficient. We meticulously monitor all expiration dates. This ensures uninterrupted service and full compliance. • Communicate effectively with internal stakeholders, including Client Maintenance/Relationship Management teams and other areas of the Control framework, including Regulator. • Regulatory Reporting and Filing FATCA & CRS, Country by Country Reporting and Economic Substance Filing.• Checking Cash Flow\'s jurisdiction to counter terrorist financing and tax evasion.• Making Compliance assessment quarterly reports and providing latest changes in Regulatory policy to Board of Directors in AGM.• Completing ABC Certification Survey on time.

Education

• University of Mumbai

  Bachelor of banking and Insurance

  2015 — 2018