Uma Mishra
Assistant manager (Compliance Analyst) at Nomura
- Role
- Assistant Manager (Compliance Analyst) at Nomura
- Location
- Mumbai, IN
- LinkedIn followers
- 500 followers
Experience
Assistant Manager (Compliance Analyst)
Oct 2022 — Present · Mumbai, IN
Participate in execution of policies & procedures and identifying policy breaches- Responsible to monitor and approve the Personal Account Dealing requests as per policy & procedures- Responsible for Chinese wall and over the wall monitoring- Ensuring MIS data, Checklists and process related procedures are updated and accurate- Responsible for investigating and enquiring for mismatch of source data- Responsible for identification, mitigation, escalation and reporting of potential/currentrisk.
Education
Mumbai University Mumbai
Bachelor of Commerce - BCom
2012 — 2015
V K Krishna Menon College of Commerce and Economics Sharad Shankar Dighe College of Science Near Bhandup Rly Station Bhandup East Mumbai 400 042
HSC
2010 — 2012
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