Nandita Shetty

Compliance Officer with total experience of 19 years. Responsible for implementing and governance of regulatory and company policies like Anti Bribery & Corruption, Anti-Money Laundering, Gifts and Hospitality, Sanctions, Third Party Procedure, Licensing, Code of Conduct and Complaints Handling.

Arthur J Gallagher (Oct’19 - Till Date) - Compliance Team Senior Analyst
Description:
Arthur J Gallagher is a leading global advisory, broking and solutions company that helps clients around the world turn risk into a path for growth. The Compliance team is responsible for Implementation and Governance of the AJG Group Compliance and Corporate policies
Functions and Responsibility:
α Partner with Business to manage risks and build controls by
focusing on Preventive action.
α Responsible for governance of Business processes to ensure
adherence of AJG Group Compliance policies like Financial Crime policies like Anti Bribery & Corruption, Anti-Money Laundering, Gifts and Hospitality, Sanctions, Third Party Procedure, Licensing and Complaints Handling.
α Oversee the risks and working of controls through Thematic Reviews & Controls Bank activity. Thematic Reviews are conducted as per the Compliance yearly plan.
a)
i.
ii. iii.
b)
i.
ii.
Thematic Reviews
Share Terms of Reference for review Engagement with Business to complete Sampling Report out findings of review to the Management
Controls Bank
Engagement with the Business to identify risks and brainstorm on controls
Governance of this document managed on a quarterly basis to keep it updated.
α Help Business in reporting and closure of incidents & complaints.
a) Recording Incidents and Complaints
b) Follow up for root cause, corrective, and preventive action
c) Ensure Closure
α Knowledge Sharing on Compliance and Company Polices
a) Online Portal.
b) Online and in person compliance training sessions
c) Issuing Masterclass
d) Email to new joiners on Overview of Compliance framework
α Reporting on Business’ Regulatory Performance

Commerce Graduate  

Certificate in Insurance from Chartered Insurance Institute (CII).
Lean Six Sigma Black Belt Trained through ISI
Diploma in International Airlines & Tourism Management from Indian Merchants’ Chambers with First Class.