Overview
Work History
Education
Awards
Activities
Accomplishments
Timeline
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Fiza Batool

Brooklyn,NY

Overview

7
7
years of professional experience

Work History

Marquee Compliance Associate

Goldman Sachs
New York, NY
05.2022 - Current
  • Formulate and implement policies and procedures to comply with regulatory requirements and adapt to changes in the business environment.
  • Provided advice and guidance on regulatory requirements, best practices, and industry trends.
  • Design and conduct compliance training sessions for supervisors in Marquee, and for Global Banking & Markets' line compliance teams globally, educating participants on the Marquee platform.
  • Assess all Marquee-related marketing materials, press releases, and other outward-facing communications to ensure accuracy and compliance with regulatory standards and internal Goldman Sachs policies
  • Lead a global working group to create universal guidelines around sharing firm materials for prospective clients

Compliance Surveillance (Senior Analyst - Assistant Vice President)

Citigroup
Buffalo
07.2020 - 04.2022
  • Project lead for developing and administering all compliance surveillance policy training for new hires and junior team members, with all new hires reporting directly to me for 4-6 months upon hire until fully trained
  • Collaborated with global counterparts in streamlining the company's Personal Trading and Investment Policy to ensure uniform application of company rules while complying with each local jurisdiction and its appropriate legal constraints
  • Advised on a broad range of compliance policy processes and assessments for all internal Citigroup employees in the North American region covered by regulatory rules and internal company policy (+35,000 employees), along with providing oversight reviews for work completed by junior members of the team
  • Participated in ad-hoc requests, and special projects, assist in responding to regulatory exams, and assist team leads in responding to inquiries or requests from various internal and global partners including monitoring and advising on any new compliance risks

Compliance Surveillance (Intermediate Analyst)

Citigroup
Buffalo
04.2019 - 07.2020
  • Independent Compliance Risk Management (ICRM) encompasses employee self-disclosure programs and surveillance programs for all activities covered by FINRA & SEC regulations and company policy related to employee activities, and investments outside of Citigroup
  • Actively monitored and reviewed these disclosures and surveillance to detect any violation of compliance policy
  • Subject matter expert in analyzing employee requests for accounts, private investments, and outside business affiliations to evaluate for ethics and compliance concerns and confirm if a conflict of interest was present, completing an average of 30+ disclosures a week
  • Detected potentially anomalous behavior and escalated it while collaborating with colleagues from different functions (Legal, HR, Global Public Affairs) and different team levels (direct managers and business unit heads) to determine the appropriate resolution of the matter, including employee discipline and at times termination

Compliance Analyst

Solidifi
Buffalo
03.2018 - 04.2019
  • Reviewed daily reports and weekly audits, researched non-compliance issues, and created clear and concise summaries for the Vice President of Compliance for resolution
  • Daily updated high-volume databases, ensuring information was current for audits
  • Streamlined operations by running daily reports versus weekly, which improved the visibility of actions and helped ensure compliance was maintained at all times
  • Maintained detailed and organized records for internal and external audits saving 30+ minutes in weekly searches

Education

Bachelor of Science - Business Administration, Finance and International Business

University at Buffalo, SUNY
05.2017

Awards

  • University at Buffalo Provost Scholar, 08/01/12
  • University at Buffalo Dean List, 09/01/14
  • University at Buffalo Dean List, 02/01/15
  • University at Buffalo Dean List, 09/01/15

Activities

Pakistani Student Association, University at Buffalo, President, 2015-2016, Events Coordinator, 2013-2015, Lead an executive board of nine students to arrange events for up to 250 students throughout the year. Increased club budget by 33% and club rollover account by 40% due to broader marketing of club events leading to higher attendance.

Accomplishments

  • Participated in the 2024 Women's Career Strategies Initiative (WCSI)

Timeline

Marquee Compliance Associate

Goldman Sachs
05.2022 - Current

Compliance Surveillance (Senior Analyst - Assistant Vice President)

Citigroup
07.2020 - 04.2022

Compliance Surveillance (Intermediate Analyst)

Citigroup
04.2019 - 07.2020

Compliance Analyst

Solidifi
03.2018 - 04.2019

Bachelor of Science - Business Administration, Finance and International Business

University at Buffalo, SUNY

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Fiza Batool