Open to opportunities

Shruti Nair

@shrutinair1

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Senior GRC professional delivering practical compliance and control solutions.

Canada

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What I'm looking for

I seek a senior compliance or GRC role where I can lead control testing, remediation, and governance, collaborate with cross-functional stakeholders, and contribute to audit readiness and regulatory compliance in a growth-oriented, collaborative environment.

I am a Senior Governance, Risk & Compliance professional with over 10 years' experience across financial services and capital markets, advising senior stakeholders and delivering scalable control solutions.

I have led control design, effectiveness testing and remediation activities in regulated environments, with hands-on experience against NI 31-103, NI 81-107, IIROC and OSFI expectations.

My career includes governance oversight for investment management and capital markets, supporting filings such as Fund Facts, Prospectus and AIF, and managing SOX General IT Controls and application control testing.

I am recognized for sound risk judgment, ownership of compliance initiatives, and clear executive and board-level reporting; I partner effectively with Legal, Finance, Technology and AML teams to drive timely, sustainable remediation.

Experience

Work history, roles, and key accomplishments

Senior Analyst – Risk & Governance

Sun Life Global Investments

Jan 2025 - Oct 2025 (9 months)

Provided governance and compliance oversight for investment management and capital markets activities, led control reviews and testing against NI 31-103/81-107, and drove remediation to resolve control findings.

Control Design Compliance Testing NI 31 103 NI 81 107 Issue Remediation

Compliance Associate

DBRS Morningstar

Jan 2022 - Aug 2024 (2 years 7 months)

Executed independent compliance testing across business lines, supported internal audits and regulatory examinations, and prepared compliance reporting for senior management and Board committees.

Compliance Testing Internal Audit Board Reporting Trend Analysis

Compliance Specialist

Gatestone & Co. Inc.

Jan 2019 - Dec 2021 (2 years 11 months)

Performed operational and regulatory compliance reviews to identify control gaps, supported corrective action implementation, and prepared compliance certifications and management reports.

Operational Compliance Remediation Validation & Compliance Management Reporting

Assistant Manager – Compliance

Axis Bank

Sep 2010 - Sep 2012 (2 years)

Oversaw AML, KYC, and high-risk client due diligence, advised management on regulatory obligations, and supported regulatory reporting and compliance training initiatives.

AML KYC Regulatory Reporting Compliance Advisory Training Policy Implementation Risk Assessment