Sayali Aradhye

About Sayali Aradhye

Assistant Manager – Knowledge Services | 13+ Years in Risk, KYC, AML, Compliance |…

Experience

1. Assistant Manager

   Mphasis

   Jul 2025 — Present · Pune, IN

   Supporting the Legal Compliance and Supervision (LCS) function for a leading US-based broker-dealer, ensuring alignment with SEC, FINRA, and internal regulatory frameworks- Conducting trade and communication surveillance to identify policy breaches, suspicious behavior, or potential regulatory violations- Reviewing employee activities, licensing requirements, outside business interests (OBIs), and personal trading for compliance with firm policies- Assisting in the review of escalations and exception reports related to financial advisor conduct, branch operations, and supervision alerts- Managing case documentation and workflow tools in accordance with internal protocols and compliance SLAs- Collaborating with US-based compliance officers and legal teams to support supervisory reviews, escalations, and ongoing compliance initiatives- Preparing and maintaining compliance documentation, reports, and audit trails to support internal and regulatory audits- Monitoring key supervision metrics and identifying trends or patterns to support proactive risk mitigation strategies- Supporting the implementation of compliance training, awareness campaigns, and regulatory updates across the support team- Driving continuous improvement initiatives to enhance accuracy, timeliness, and operational compliance with broker-dealer regulations.

Education

• Modern College

  BBA, Management

  2008 — 2010

• St.Helena's Highschool

  10th Std

  1994 — 2005

• Savitribai Phule Pune University

  MBA, Management

  2011 — 2013