Vishal Arora
Compliance Manager
Manurewa,Auckland
Summary
Compliance Manager focused on minimizing company liability by keeping all records, processes and training in full compliance with established standards and legal requirements. Quality-driven and hardworking with proven skills in spotting issues, developing resolutions and implementing corrective actions.
Overview
5
5
years of professional experience
1
1
Certification
Work History
Compliance Manager
Astute Investments And Financial Planning
Auckland, AUK
02.2022 - Current
- Delivered subject matter expertise for internal and external customers on compliance best practices and quality control.
- Prepared and presented comprehensive reports to upper management and audit team, covering issues and recommendations.
- Reviewed documents, files, transcripts and other records to assess compliance and potential risk.
- Developed and delivered training programs to inform new and current employees about compliance issues.
- Managed compliance efforts, reporting and audits.
- Verified consistency in quality planning, quality control, quality insurance and quality improvement.
- Played instrumental role in company-wide risk assessment efforts, supporting enhancements in business processes and controls.
- Prepared records and data for regular audits.
- Structured programs, produced working documentation and implemented best practices.
- Supervised and coached compliance personnel in mortgage and home equity, vehicle lending, credit card services and deposits monitoring.
- Maintained current understanding of company standards and applicable legal requirements such as FMC Act 2013 and Privacy Act 2020.
- Maintained effective working relationships with regulatory authorities, suppliers and customers.
- Evaluated customer complaints, processes and all other aspects of operations to assess compliance.
- Drove optimization of regulatory risks management, control testing and process improvements.
Financial Advisor
True North Investments
Auckland, AUK
04.2013 - 12.2014
- Educated clients on various financial matters and provided professional recommendations on investment opportunities, products and services based on each clients' individual needs.
- Helped individuals and families build and execute wealth management strategies based on unique goals and objectives.
- Assisted clients with preparing financial plans, conducting investment research and completing trades and transactions to assess and meet financial goals.
- Worked with clients to support understanding of rationale and details of financial strategies.
Paraplanner
True North Investments
Auckland, AUK
04.2010 - 03.2013
- Attended training courses to further knowledge and maximize understanding of current trends and strategies in financial planning.
- Performed audits of records and financial accounts.
- Put together detailed financial and investment plans for customers.
- Modeled financial data for staff and customer use.
- Prepared for meetings by gathering materials, reports and presentations.
- Stayed up to date on latest performance indicators for stock market and mutual funds.
- Quickly learned new skills and applied them to daily tasks, improving efficiency and productivity.
- Carried out day-day-day duties accurately and efficiently.
Education
NZ Diploma in Construction - Quantity Surveying
Unitec Institute of Technology
Auckland, AUK11.2021
Diploma in Business - Finance
Auckland University of Technology
Auckland, AUK11.2010
MBA - Marketing
University of Pune
India05.1999
Bachelor of Commerce - Commerce
Panjab University
India05.1996
Skills
- Document Review
- Regulatory Documentation
- Quality Control
- Investigative Skills
- Regulatory Compliance Oversight
- Leading Audits
- Corrective Action Planning
- Risk Reviews
- Best Practices and Standards
- Codes Implementation
- Internal Control Systems
Certification
- Compliance Officer Course Level 5 Micro-credential, Strategi
- National Certificate in Financial Services (Financial Advice) Level 5, Skills Organisation
Timeline
Compliance Manager
Astute Investments And Financial Planning
02.2022 - Current
Financial Advisor
True North Investments
04.2013 - 12.2014
Paraplanner
True North Investments
04.2010 - 03.2013
NZ Diploma in Construction - Quantity Surveying
Unitec Institute of Technology
Diploma in Business - Finance
Auckland University of Technology
MBA - Marketing
University of Pune
Bachelor of Commerce - Commerce
Panjab University
- Compliance Officer Course Level 5 Micro-credential, Strategi
- National Certificate in Financial Services (Financial Advice) Level 5, Skills Organisation
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