Expertise
Sunita is a legal and compliance professional specialising in financial services and cross border services.
Sunita has over 30 years’ experience in legal and compliance and has worked in both India and the UK during the course of her career. She is a qualified (non practicing) Barrister and Solicitor from the UK who has worked with various international clients entering the Indian markets.
She subsequently moved to financial services compliance and was Head of Compliance and MLRO at various banking institutions including Citibank, Barclays Wealth and Bank J. Safra and wealth management family offices.
Sunita Advises
- Start-ups in various sectors such as fintech solutions for financial crime management, wellness and beauty, climate change, private equity investments and SaaS solutions.
- General compliance advisory including seeking authorisation from the Financial Conduct Authority, establishing compliance systems and controls, frameworks, monitoring and remediation and bespoke inspections.
- Credit unions in the management of compliance, legal and regulatory risk.
- Companies interested in investment in India, the wider sub-continent and the Middle East.
- Payment services
Experience Highlights
- Facilitated the launch of a television channel in India and subsequently led its in house legal and HR operations
- Supported companies seeking entry into the Indian market across various sectors
- Led global monitoring assessments across businesses as a compliance officer
- Led compliance support for remediation activities on compliance and financial crime reviews
- Lead compliance support for implementation of regulation across various jurisdictions
- Board director in a credit union and charity supporting the UN’s SDG Goals
- India registered and authorised Director
Career History
Previous /Current Businesses
- Lawyer – Ajay Bahl and Co (now AZB Partners), C.R Dua and Associates and Kochhar and Co (India)
- Head of Legal – TV India (English language television channel in India owned by Carlton Communications and The Hindustan Times).
- Head of Compliance – Non-resident Indian team UK, Europe and Africa – Citigroup UK.
- Investments compliance regional team – EMEA – Citigroup UK (portfolios across 9 markets in Europe, Africa and Middle East)
- Head of Compliance advisory, International and Intermediaries (UK, Cyprus and Gibraltar) – Barclays Wealth UK
- Head of compliance and MLRO – Bank J Safra Sarasin (London Branch) (SMF 16/17)
- Head of compliance and MLRO – Beryllus Capital and InCred Global Wealth UK Limited (SMF 16/17)
- Head of compliance, Legal, DPO and MLRO – DiPocket Limited (UK) – Payment Services firm (SMF 16/17)
- Director, SB Private Limited – legal and compliance consultancy UK
- Director, London Community Credit Union
- Director, Advocates for International Development/A4id Foundation in India