Raavi Jain - CAMS

Experience

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  EClerx

  Feb 2012 - Apr 2015

  Senior Analyst

   Preparing Monthly, Weekly, Daily reports presenting to Senior Management. Performing SOX testing for review of Internal Control measures and preparation of necessary documentation in order to facilitate reporting to various statutory authorities. Handled KINTANA incident reporting.  Lead weekly calls with line Manager for particular task assigned. Handle GARS activity for all reference data processes.  Performing reconciliations, preparing process control reports and following up with concerned teams to ensure correction of deviations identified. Preparation of various Daily, Monthly and Quarterly reports for facilitating managerial decisions. Working with the defined SLA, ensuring the trade detail is correctly booked and SLA’s are met. To update the daily checklist and prepare Monthly Adhoc tracker for team. Analyzing Internal Control framework and suggesting improvements wherever necessary. Supporting AML team by performing reconciliations for the Suspended Vs Active Accounts  Preparing monthly Executive Dashboard for Client, Standard Settlement Instructions and Product. Updating New, amendments and ad hoc requests in defined Services Level Agreement. Performing reconciliations for the Standard Settlement Instructions, client details and Products setup. Conducting Quality Audits, identifying training needs and providing feedback to the concerned employees as well as team leads. Independently working on critical report preparation. Co-ordinates the resolution of IT extract issues. Show less

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  Nomura Services India Private Limited (Nomura Holdings Inc)

  Apr 2015 - Oct 2018

  Senior Analyst

   Working extensively with the Global Markets and Middle office teams on reports related to compliance & regulatory Generated various report templates for standardizing the reports throughout the Nomura. Involved in developing the reports for the onshore teams and successfully published the highly formatted reports and met with the end user requirements. Created complex variables, breaks, sorts, filter and conditions for various reports. Involved in understanding the end-user requirements and business processes in creating and designing universes, queries and reports. Co-ordinating with the traders for the process improvement & updating the report logics. Ensure Errors and Exception logs are updated and shared within the team. Training the new joiners on the reports, published by the team.  Responsible for preparation of daily, weekly and monthly MIS reports across regions to highlight Operational Performance, key issues and next steps. Designed Universes, incorporating all the business requirements. Extensively used scheduler for report scheduling and deployment. Responsible for ensuring all MIS/KRI packs are completed accurately and well before deadline Responsible for efficiency gain at process level or for repeat change management on existing reports Expertise in creating, organizing and scheduling reports such as Web Intelligence Reports, for different teams across Nomura. Provide feedback to senior management and identified problem areas for proactive solutions. Acting as a liaison to co-operate with business and technology units to minimize client/business impacts and maximize client satisfaction. Establish and maintain close interaction with client community and senior management to determine business system requirements in keeping with division. Excellent analytical skills that help identify problems and seek solutions promptly. Show less

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  Bank of Baroda

  Nov 2019 - Nov 2020

  Compliance Analyst

   Perform Customer Due Diligence and Enhanced Customer Due Diligence on Medium and High risk clients respectively To check the customer profiles via FINACLE application Understand the company setup requirements and check the legal documents for the same as per bank standards Reviewing and verifying the company setup requirements To monitor the high risk account activities and resolve the queries in case of any deviations To liaise with customers for documentation of corporate as well as individual accounts and maintain customer relationship Provide input to the business on how to evaluate KYC Risk and escalate it to the higher management Managing High risk customers in terms of doing Enhance Due Diligence Ensure timely implementation of gaps identified in CDD/ECDD during internal/external audit Raise STR for High risk customers, if required Review the completeness and quality of initial Know your customers (KYC) documentation for new customers to ensure that required CDD /ECDD efforts and documentation are in accordance with applicable policies. Analyze the KYC data of customers, documentation and negative news in order to determine client risk profile as established under BOB procedures. Perform background checks, sanctions and negative news searches as well as PEP screening to complete the KYC checks Perform analysis on potentially suspicious findings or transactions, and ongoing maintenance/ refresh of existing customer data Show less

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  Vertex Compliance

  Jan 2021 - now

   Conduct Internal audits, AML AUP Audit, and risk assessments projects at Exchange houses, Banks etc. Planning and execution of AML (Anti-Money Laundering) Audits and Compliance spread across reputed financial institutions. Drafting and Vetting of various key policies like AML Policies and procedure, Risk management, Operation policy, Consumer Protection, data Protection, etc. for various Exchange Houses, Insurance Companies, DNFBPs, and its implementation. Conduct AML trainings, Anti-Fraud training, and Continuous Professional Development training programs to various compliance professionals, Front line associates and Risk Professionals across the financial institutions. Responsible for using various sampling techniques for Remittance and Foreign Currency transactions with regards to AML Audit of Exchange Houses and reviewing their Corporate files. Provides AML Compliance Advisory Services and Headed the Gap Analysis and implementation of AML Controls for Banks, Insurance, Exchange Houses, DNFBPs. Design and conduct Enterprise wide Risk Assessment & Money Laundering/Financial Terrorism Risk assessment and Developed Compliance and Third- Party Risk registers. Conducts and prepares reports of Enhanced Due Diligence on Corporate and Individual Customers Analyzing the KYC Framework, Due Diligence Monitoring, Transaction Monitoring for clients Performed Sanction Screening prior to Client and Third-Party onboarding and Prepared the AML screening Report. Assisted the Exchange Houses, Banks and Insurance Companies for implementing the Transaction Monitoring system rules. Drafted standard KYC procedures to prevent fraudulent transactions for major Exchange Houses, Banks, Insurance Companies and DNFBPs. Assisting Clients from various financial institutions in responding to CBUAE queries raised during various occasions or during their Annual Audit  Create Governance Models, Gap Analysis for various Financial Institutions Show less

  • Compliance Consultant

    Jan 2021 - now

  • Compliance Consultant

    Jan 2021 - now