Financial compliance management is not an easy endeavour—even for well-seasoned finance and legal professionals! It is one of the hardest operational procedures in the financial industry that could lead to severe legal repercussions if left unchecked. 

With over 14 years of experience, Rohini Gupta—a veteran in the financial regulatory management landscape— foresaw that over the years, the frequency of the release of regulatory updates would significantly increase, and financial institutions would have to adapt to new and unfamiliar practices backed by technology to thrive in a constantly evolving legal environment.

Though she knew that regulatory updates are vital for the evolution of the global financial landscape, she wanted the regulatory system to be fair to entities regardless of their size and their employees’ skill set. 

Rohini’s vision, instilled with the drive for innovation, helped conceptualise FinregE, an entity that endeavours to make financial compliance management easy and accessible for organisations in the finance sector.

Rohini Gupta’s expertise and foresight

As a self-driven and curious individual, Rohini pursued a quest for knowledge in the financial services sector for nearly 14 years before founding FInregE. Her journey had taken her through unique industrial verticals under the finance sector, and she gained experience across institutions that handled investment banking, asset and wealth management, retail banking, capital markets and financial services regulation.

Throughout this time, she would learn the intricacies of compliance management and gain critical insights on regulatory frameworks and legislation across global regulators, best practice governance, risk and compliance frameworks, and regulatory expectations. This would then facilitate her to develop foresight into financial regulation, which ultimately helped her establish FinregE.

As the CEO and lead regulatory advisor at FinregE today, Rohini Gupta is combining her extensive experience and incredible leadership skills to push the boundaries of regulatory change management whilst continuously striving to weave innovation into regulatory management practices for financial organisations.

Streamlining financial compliance management with technology.

FinregE believes that with the right technology, financial compliance management could be made an agile, responsive and seamless process! 

Through technologies such as Machine Learning (ML), Natural Language Processing (NLP), Artificial Intelligence (AI) and advanced analytics, FinregE offers its patrons a comprehensive suite of solutions that just works effortlessly. 

By harnessing the power of digital technology, FinregE envisions solving intricate problems pertaining to financial compliance management creatively, driving their clients towards a future that is full of great potential and possibilities.

In addition to its already impressive portfolio of products and services, through concepts of design thinking and creative problem-solving, FinregE, is now looking forward to increasing its offerings. Furthermore, the organisation is investing in innovative solutions such as automated compliance mapping that could further improve compliance management and monitoring for various entities.

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