Ashok Kumar Anjan

Legal and Compliance Professional
Compliance 'Trail Blazer' setting up Compliance Departments

Corporate Governance Implementation
Mentor and Coach; Expert & popular Trainer
Regulatory Guide

Advisor to Boards and top Management

Expert implementation of Internal Controls,
Fraud Prevention and Enterprise wide Compliance Frameworks 

The Compliance Man

Contacts :
 
UAE Dubai mobile +971 556276176
Landline : +971 (0) 4 2942009
 
PO Box 184947, Al Rigga, Deira, Dubai,
United Arab Emirates
 
https://www.linkedin.com/in/ashokanjan
 
 
 
Career Profile

  • Qualified lawyer and compliance professional
  • Compliance Jedi
  • Team Builder
  • Strong I.T skills
  • Leadership in Compliance
  • Advisory
  • Strategy guide
  • Research
Compliance 'Trail Blazer' setting up Compliance Departments and Frameworks in banks.
 
Very strong Banking operations, products and services background. Chief Operating Officer role and profiles.
 
Compliance Mentor having taught and trained about 4000 bank employees, compliance practitioners and working executives of various institutions.
 

Core Competencies

A Legal and Regulatory professional, qualified Lawyer and Compliance mentor. Proven leadership in achieving 360⁰  ‘Total Compliance’  across the organization. Embedding Compliance by facilitating business. GCC experience in UAE, Oman, Bahrain and Saudi (on visit basis to Kuwait and Qatar).



CORE COMPETENCIES :

COMPLIANCE (LEGAL & REGULATORY)  ● ANTI MONEY LAUNDERING   ● CORPORATE GOVERNANCE & GRC (GOVERNANCE, RISK & COMPLIANCE) FRAMEWORKS   ● LISTED COMPANY / STOCK EXCHANGE COMPLIANCE   ● INTERNAL CONTROLS ● FRAUD PREVENTION & CONTROL  ● FINANCIAL CRIME INVESTIGATIONS  ● FATCA & COMMON REPORTING STANDARDS (‘CRS’)  ● EXPERT TRAINER  ● CORPORATE ETHICS   ● SANCTIONS MANAGEMENT

Professional Experience
Dec 2008 - Dec 2015
Head of Compliance & MLRO
Commercial Bank International, Dubai
Set up the Compliance, Anti Money Laundering, Fraud Control Department in Dec 2008. Implemented Corporate Governance Framework and Policy at Board and Management levels. Got Board and Management 'buy-in' for Compliance as a business driver.
Signifcantly reduced fraud occurrences and losses. Set in place AML and Sanctions Screening systems. Compliance mentor for Emiratization.
2003 - 2008
Head of Compliance, Governance & MLRO
Bank Muscat, Oman
Prepared and set up the Compliance function and the Compliance, AML Department.
Prepared and implemented the Corporate Governance Code and Framework as per Capital Market Authroity and Central Bank of Oman directives.
Prepared the Terms of Reference of various Board and Management level Committees.
Prepared Polices & Procedures for various critical functions.
Wide Advisory reach.
Award winning Corporate Governance recognition.

2001 - 2003
Assistant General Manager (Central  Ops & Branches, Channels, I.T., HRD, Cards, Trade, Services)
Bahraini Saudi Bank, Manama, Bahrain

1998 - 2001
Vice President (Central  Ops & Branches, Channels, I.T., HRD, Cards, Trade, Services)
KBC Bank NV (Belgium) South Asia

1997 - 1998
Asssistant General Manager (Member Management Team)
Cho Hung Bank, South Korea


1981 - 1997
Deputy General Manager (Banking, I.T implementation across the banking system; Policy and Supervision) 
Reserve Bank of India

1980 - 1981
Manager (Executive Trainee Programme - Steel industry)
Steel Authority of India (SAIL)

Education
MA
Humanities, Languages & Social Sciences
Central University of Hyderabad, India
LLM Master of Law
University of Mumbai
2 year full time programme
LLB Bachelor of Law
University of Mumbai
3 year full time programme with  Law Firm attachments.

Certifications, Professional Memberships, Distinctions

CAMS

Certified Anti Money Laundering Specialist.

A professional accreditation awareded by the Association of Certified Anti Money Laundering Specialists, Miami, USA.  
Member ACFE

Member of the Association of Certified Fraud Examiners.
Expert speaker at various international fora on Compliance, AML, Santions, Corporate Governance, Fraud Control.

Special mention from the Dubai Police for contribution to curtailing financial crime
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