Gurminder Kaur
Head of Compliance at Wall Street Exchange - A member of Emirates Post Group
I am a Head of Compliance with over 23 years of experience in the financial services sector, specializing in banking and exchange houses. I hold CAMS and CGSS certifications from ACAMS,...
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- Compliance in Financial Services: Key strategies and regulations review
- Anti-Money Laundering (AML) Best Practices: Effective policies and procedures implementation
- Risk Management in Compliance: Identifying and mitigating compliance risks
- Sanctions Compliance Essentials: Understanding global sanctions requirements thoroughly
- Training and Development in Compliance: Designing effective training for compliance professionals.
Meet the mentor
Tricky Workplace Situation Handled
- Dear Team, owing to the recent market developments, in order to keep up with the current trends and overall boost productivity, we have been working towards a model which we feel would bring more efficiency and also boost the current skills of the employees. Thus, we are looking for changes which we will inform you personally and have also arranged trainings for different roles to help you transition into the new phase. you may contact t your HR Department for further clarifications.
- The company should make effort to include the vision and the objective around the subject and should also be descriptive about what it is trying to achieve and how it helps the employee and not just the oragnization.
- The relationship grows if only one understand the other without jumping to conclusions but by actively listening and understanding the other
- No eye contact throughout the conversation She did not let him complete in order for him to explain what was amiss She gave a decision before understanding the entire situation n also resorted to fault finding
- Asking for ownership of the complainer's part He is not biased and trying to objectively view the situation Offers solution but also assures if it doesnt help may be another way would help Helps her find a solution herself rather than imposing Is not critical of her complaint
- Yes and no At times with employees who do not wish to listen to reason a more firmer approach is required. An underlying tension us best resolved by asking the right questions a knee jerk reaction can hint at something deeper
- Not providing too much attention at times helps. Setting deadlines, having candid discussions understanding underlying issues Team building exercises help
- During system changes.. the need for me to adapt with changing data. the new role and difference in culture I had to adapt to ensure I understood what was and what it requires to achieve compliance. The changing laws and regulations I had to adopt in the current policies and procedures
- The scenarios which I would not have considered as I could not think of a 360 view of the situation. The skills required vs available. The resources and information gathered might not he enough to mitigate the unforceabl faos and risks
- With the changing world one needs to upgrade and adapt to what suits best for the new changes and circumstances one faces constantly. Incase u are not adaptive it can lead to you drowning by competition or facing fines and penalties
Tricky Workplace Situation Handled
- Dear Team, owing to the recent market developments, in order to keep up with the current trends and overall boost productivity, we have been working towards a model which we feel would bring more efficiency and also boost the current skills of the employees. Thus, we are looking for changes which we will inform you personally and have also arranged trainings for different roles to help you transition into the new phase. you may contact t your HR Department for further clarifications.
- The company should make effort to include the vision and the objective around the subject and should also be descriptive about what it is trying to achieve and how it helps the employee and not just the oragnization.
- The relationship grows if only one understand the other without jumping to conclusions but by actively listening and understanding the other
- No eye contact throughout the conversation She did not let him complete in order for him to explain what was amiss She gave a decision before understanding the entire situation n also resorted to fault finding
- Asking for ownership of the complainer's part He is not biased and trying to objectively view the situation Offers solution but also assures if it doesnt help may be another way would help Helps her find a solution herself rather than imposing Is not critical of her complaint
- Yes and no At times with employees who do not wish to listen to reason a more firmer approach is required. An underlying tension us best resolved by asking the right questions a knee jerk reaction can hint at something deeper
- Not providing too much attention at times helps. Setting deadlines, having candid discussions understanding underlying issues Team building exercises help
- During system changes.. the need for me to adapt with changing data. the new role and difference in culture I had to adapt to ensure I understood what was and what it requires to achieve compliance. The changing laws and regulations I had to adopt in the current policies and procedures
- The scenarios which I would not have considered as I could not think of a 360 view of the situation. The skills required vs available. The resources and information gathered might not he enough to mitigate the unforceabl faos and risks
- With the changing world one needs to upgrade and adapt to what suits best for the new changes and circumstances one faces constantly. Incase u are not adaptive it can lead to you drowning by competition or facing fines and penalties
