COMPLIANCE
The SAAD GHARE Story
The Value Pitch
Regulatory Compliance & Governance • AML/KYC & Customer Due Diligence • Documentation & Audit-Readiness • Risk Assessment & Monitoring • SEBI & AMFI Regulatory Standards • Client Onboarding & Suitability • Stakeholder & Cross-Functional Coordination • Compliance Training & Policy Briefing • Compliance Reporting & Reviews • CRM & Pipeline Management.
Core Skills
AML/KYC & Customer Due Diligence , Microsoft Office, Customer Relationship Management, Time Management
Education
MBA, Finance — Mumbai University (2022)
BCom, Finance and Accounting — Mumbai University (2020)
Languages Spoken
ENGLISH, HINDI, MARATHI, URDU
Professional Summary
Client relationship and account management professional with 5+ years of experience across banking, wealth management, and insurance, with core responsibilities spanning AML/KYC due diligence, regulatory documentation, and audit-ready record-keeping alongside broader account and stakeholder management. Consistently ensured client and account interactions met SEBI, AMFI, and internal compliance standards across a diverse portfolio of individual and corporate stakeholders. Delivered compliance-aligned training and product briefings to a professional network of 300+ Relationship Managers, and coordinated cross-functionally to embed regulatory requirements into daily operations. Currently completing CISI Level 3 Combating Financial Crime certification.
Key Accomplishments
(Aditya Birla Sun Life) – Designed and delivered compliance-aligned training programs to a professional network of 300+ bank Relationship Managers, driving compliant product adoption across the distributor network.
(ICICI Securities) – Served as single point of contact for client onboarding, ensuring 100% of KYC and account documentation met SEBI compliance standards.
(Nexus Financial Services) – Built and managed an end-to-end portfolio of individual and corporate accounts, maintaining audit-ready documentation across every client engagement.
(ICICI Securities) – Served as single point of contact for client onboarding, ensuring 100% of KYC and account documentation met SEBI compliance standards.
(Nexus Financial Services) – Built and managed an end-to-end portfolio of individual and corporate accounts, maintaining audit-ready documentation across every client engagement.