Experience

• 

  J.p. morgan

  Jun 2013 - Oct 2015

  Cib account management

  Account Maintenance & Client Implementation - • Part of pilot project - migrated the operations process from US, training for which was conducted through screen sharing and conference calls.• As part of National Account Maintenance (NAM) team I managed all kinds of Account maintenance activities some of which includes Adding holds, blocks, stops on cheques and signers on account. Adding holds & other such activities involves instant money movement from client’s account.• Performing checks on various documents like official company Name change docs, Mergers and Acquisition Docs, Account Signers, Power of attorney Doc etc and performing required changes in account as per that.• Key role played in this project is to prepare SOP’s for the team, ensuring EOD checks, handling escalation & looking out various ways to automate the process since all the activities are performed on Single Touch System. Preparing various weekly and monthly MIS for Senior Management.• Performing Quality checks on service portal request and preparing regular Error Report• Trained new joiner in the team about the process and mentor them for complete process knowledge• Was rewarded with innovation award for providing automation idea in the process. Show less

• 

  Nomura

  Oct 2015 - Jan 2019

  Compliance officer

  Employee Compliance -• Trained & Mentored new joiners in Employee Compliance team enabling them to get upto speed with processes.• Handled Compliance Global Project to onbroad new systems for Monitoring & surveillance. Engaging with senior stakeholders across the region. Preparing case and comparative study between the available vendors.• Reconciling Personal account dealing trades and investigating the trade confirm for breach wherever necessary. • Handling E2E personal conflict breach as per policy & procedures.• Keeping on top of Industry standards, sharing with wider team (all regions) material update or incident noticed in Compliance area across industry.• Preparing KRI/KPI MIS reports on all compliance process by coordinating with multiple teams like Financial Crime, E-COM, TMS, Control Room and Employee compliance team on monthly basis for Sr. Management and address queries if any. Show less

• 

  Natwest group

  Feb 2019 - Jun 2023

  Part of Global Control Room handling PAD, G&E, MPC, Pub/Pvt Classification, Monitoring and surveillance queries, etc• Handling Personal account dealing workflow and perform the role of compliance advisory, helping in interpretation of internal compliance policies.• Deploying technological strategies to enhance, simplify, and save efficiencies in PAD controls.• Scope and implement new ways of working with Surveillance to enhance market abuse controls.• Keeping on top of Industry standards, sharing with wider team any material update or incident noticed industry wide.• Efficiently and effectively perform Key Controls, such as; analysis and conflict clearance of high-risk G&E requests.• Provide expert advice on framework application, requirements, and system to colleagues of varying seniority.• Provide advice and support to all/any business in their analysis, classification, and application of colleague information classifications and information barriers, subsequently monitoring their effectiveness.• Manage the bank’s regulatory responsibility to maintain an effective and accurate Insider List, demonstrating access to bank inside information is strictly controlled, and ensuring Insiders are aware of their obligations and restrictions. Show less

  • Senior Associate

    Sept 2020 - Jun 2023

  • Senior Associate - Control Room Compliance

    Feb 2019 - Aug 2020
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  Nordea

  Jul 2023 - now

  Senior risk & compliance officer