Anu joined CCL 2013 and provides day-to-day compliance support, in particular, the provision of outsourced compliance officer and MLRO services to DFSA authorised firms. Anu’s experience covers private banking, corporate finance and asset management.

Anu began her compliance career with ICICI Bank, DIFC Branch in 2009, where she assisted the Compliance Officer & MLRO with client onboarding, risk assessment and compliance monitoring. Later, she joined Euram Bank Asia Limited - a Category 3 licensed firm in the DIFC - as Deputy Compliance Officer and MLRO. She supported the firm's Compliance Officer and MLRO and had a major role in formulating the policies and procedures for the Bank. Her role included client onboarding, compliance monitoring, revising policies and procedures and assisting in establishing systems and controls to ensure that the Firm was compliant with the local rules. Having direct access to the Board and the SEO enabled Anu to gain experience in advising the Senior Management on regulatory issues. Anu was responsible for oversight of the Foreign Institutional Investor desk including trade surveillance and ensuring proper execution of trades. As Risk Officer of the Firm, she was also responsible for managing the firm’s risk management process.
Since joining CCL, Anu has been involved in many projects related to Client onboarding process, client file reviews and providing compliance support to a DFSA Category 1 Licensed Firm.
Anu also performs the outsourced Compliance Officer and MLRO function for a number of DIFC firms, across DFSA prudential categories 3C and 4.

Recent work includes:

  • Providing compliance support to a DFSA Category 1 Licensed Firm.
  • Providing ongoing compliance and AML consultancy support to Category 3C and 4 DFSA Authorised Firms.
  • Conducting Compliance Monitoring Programmes for a number of DFSA Authorised Firms.
  • Managing the DFSA authorisation for two Category 1 Firms.
  • Conducting a high-level regulatory review for a DFSA Category 3C Firm to assess the existing systems and controls in-line with the DFSA rules and regulations
  • Delivering Compliance and AML training to DFSA Authorised Firms.
  • Designing bespoke policies and procedures for new entrants to the DIFC regulatory environment.
    Providing ongoing support to an International Investment Bank specialising in online trading and investment regulated by the DFSA and the Central Bank of the UAE as a Representative office.

 

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