Chief Compliance Officer
- Company:Office of the NYC Comptroller - Bureau of Asset Management
- Short Bio:As the Chief Compliance Officer for the Bureau of Asset Management in the Office of the NYC Comptroller, Shachi Bhatt is responsible for identifying and implementing policies and systems to assess and monitor regulatory compliance within the Bureau as well as with the New York City retirement systems’ external managers, parent companies, affiliates and joint venture partners on a range of issues relevant to the financial services industry. Ms. Bhatt ensures that investments comply with State and Federal law, the Systems’ investment guidelines and the asset allocation decisions made by the Systems’ and related funds’ Trustees. Prior to joining the Office of the Comptroller’s Bureau of Asset Management in 2015, Ms. Bhatt served in compliance roles at wealth advisory and asset management firms. There she helped manage the firms’ compliance and risk management programs, including assembling regulatory filings, fulfilling all domestic and foreign registration requirements, staff training, overseeing the Business Continuity Plan and enhancing all policies and procedures. Ms. Bhatt received her B.S. from the University at Albany and a M.S. from Boston University.