Umang Kotak Thakkar
Compliance Manager @ICICI Bank
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WORK HISTORY
Compliance Manager @ICICI Bank
Creating and reviewing IFSCA, RBI, SEBI & IRDAI regulatory compliance documentation.Coordinating the creation, review and implementation of policies and procedures resulting from new laws and regulations.Applying and interpreting audit and compliance requirements for various departments.Working closely with the compliance officer, principal officer and other senior executives.Designing and coordinating the preparation and ongoing review of policies, procedures, training materials and other communication tools to ensure departments meet compliance requirements.Coordinating business team retail, corporate, capital, bullion and IT to execute policy and actionable as per regulatory requirements.Interacting with external auditors on matters related to audits of the organization’s internal controls.Establishing self-audit and compliance monitoring programs.Reviewing and assessing potential fraud activity and developing fraud detection tools.Filing regulatory reports and other documentation.Coordinating rollout and training of new or updated policies and directives when required.
EDUCATION
Indira Gandhi National Open University
Master of Business Administration - MBA, Retailing and Retail Operations
Hemchandracharya North Gujarat University
Bachelor of Business Administration - BBA, Finance
ABOUT UMANG KOTAK THAKKAR
I am a Compliance Manager in the banking industry with expertise in regulatory compliance, AML/KYC processes, sanctions screening, and policy development. Over the past few years, I have built a strong track record of reducing compliance risks, streamlining reporting processes, and leveraging data analytics to empower decision-making.Some of my key achievements include:Reduced compliance reporting time by 40% through automation and smarter workflows.Trained and mentored 20+ junior employees, strengthening the compliance culture within the organization.I bring a unique blend of compliance expertise and data analytics skills, allowing me to bridge the gap between regulatory requirements and actionable business insights. Certified in Data Analytics, Excel, Power BI, and AI-powered compliance tools, I stay ahead in applying technology to regulatory functions. Career interests: Compliance Manager, AML/KYC Manager, or Regulatory Compliance roles at global financial institutions and leading corporates (Amazon, Microsoft, HDFC Bank, Mastercard, Barclays). Work preference: Onsite in Gandhinagar or remote opportunities.If you are looking for a results-driven compliance leader with strong analytical skills, let’s connect.
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