Anu Batra is a Chartered Financial Analyst (CFA) and a Certified Anti-Money Laundering Specialist (CAMS) with 10 years of experience in the financial services industry, focusing particularly on regulatory compliance. Partnering with M² since 2006, she thrives in team-oriented settings.
Batra’s career includes:
- Helping brokerage, investment advisory, and banking organizations successfully address regulatory compliance issues.
- Formulating and implementing compliance procedures and conducting independent audits and evaluations to ensure compliance with Bank Secrecy Act / Anti-Money Laundering (BSA/AML) and other government regulations.
Her M² engagements have included:
- Led a team of former bank examiners and auditors participating in a large-scale, year-long regulatory compliance review and remediation program in support of US Patriot Act compliance.
- Conducted an independent audit review of the Anti-Money Laundering (AML) compliance programs for a national Broker-Dealer.
