SHILPI SANGHVI

Seek a competitive position in a dynamic working environment utilizing my governance, compliance, quality assurance and supervision skills.

Top performing compliance professional with in-depth working knowledge of compliance and regulatory framework within both Insurance and Financial Markets.

• Perpetual Pty Ltd (Corporate Trust), Governance and Oversight Associate, 07/01/22, 03/31/24, Delivering best in class compliance and risk management framework., Approving marketing and advertising communications., Assist in educating distributors on compliance expectations., Maintain lists of Distributors and Material Distributors., Support management in recording and assessing Complaints Data and Dealing Reports., Produce Trends Data in relation to Complaints and Dealing Reports., Assist management with the preparation of Compliance Committee and Board reports., Develop and maintain good & effective relationships with service providers, distributors and internal stakeholders., Act in accordance with Perpetual’s goals & values.
• Pepper Money, Compliance Officer (Line 2, Risk and Compliance), 06/01/21, 07/31/22, Improvement and maintenance of Compliance Framework., Provide compliance advice to the business on customer communications., Investigate escalations from the business and provide compliance advice., Providing support and compliance advice with incident management.
• Petsure Pet Health Insurance, Compliance Analyst (Legal and Compliance), 09/01/19, 05/31/21, Management of compliance inbox and compliance tasks., Working closely with internal and external business heads to ensure compliance with Modern Slavery Act., Working alongside compliance manager in management and reporting of breaches and incidents., Supporting Royal Commission Project team with the implementation of Royal Commission reforms.
• Petsure Pet Health Insurance, Compliance Quality Assurance Officer (Legal and Compliance), 11/01/18, 08/31/19, Conducting compliance sales call audits., Drafting and presenting monthly call monitoring reports., Guiding and working with Brand Partners in filling up compliance gaps.
• Petsure Pet Health Insurance, Senior Customer Operations and Service Representative (part time), 08/01/14, 10/31/18, Underwriting new applications., Managing error applications, promotions and retentions tasks., Running and sending Customer Correspondence and Admin report.
• Lowe Lintas, Brand Services Manager, 10/01/00, 12/31/04, Strategizing and executing Marketing and Advertising campaigns., Attending Market Research., Writing effective creative briefs.

• Six years’ experience working in Legal, Risk and Compliance teams and over nine years’ experience in financial services
• In depth understanding and working knowledge of regulatory environment and obligations around general insurance and financial products
• Knowledge and experience of managing Breaches and Incident registers
• Support all levels of management by providing quality guidance on compliance and regulatory reforms
• Knowledge and experience in maintenance of compliance registers, policies and documents
• Excellent written and verbal communication skills with ability to liaise efficiently with internal and external stakeholders
• Strong ability in maintaining productive relationships with internal and external stakeholders
• Established record of meeting deadlines, good time management skills, interpersonal skills, capacity to view the 'whole picture'. Always focused on a 'Can Do' attitude
• Proficiency in MS Office including advanced excel skills, UPM, JIRA and DOS based programs and aptitude to pick up things fast