Shloka Jain
KYC & AML, Risk and Compliance
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À propos
Detail oriented Analyst with 3 years of experience in identifying, assessing and mitigating risks within financial service industry. Proficient in conducting comprehensive due diligence, risk assessments and implementing robust risk management frameworks. Skilled in data analysis, process improvement and regulatory compliance. Demonstrated ability to collaborate effectively with cross-functional teams to enhance overall risk management strategies and compliance.
Expérience
- Assistant Head of Conduct and Culture intern Natixis CIB, Paris, FR | March 2022 - Sept 2022
Strategic Risk Management: Developed and implemented risk management strategies, frameworks, and compliance policies, including comprehensive ethics and compliance programs.
Compliance & Operational Risk Investigations: Conducted rigorous investigations into alleged risks and issues such as market abuse, IT, cybersecurity, whistle- blowing, fraud, conflicts of interest, gifts and entertainment, anti-bribery corruption and misconduct etc.
Corrective Measures Recommendations: Delivered effective remedial proposals to enhance internal controls and auditing compliance measures.
Robust Internal Control Initiatives: Executed strong internal controls, employing adept project management and fostering collaboration.
- Compliance KYC and AML Analyst Accenture, Mumbai, IN | Nov 2017 - May 2020
AML & CFT Expertise: Established robust AML and CFT monitoring systems, effectively preventing financial illicit activities, monitoring PEPs, and proactively ensuring international sanctions & embargoes compliance.
Compliance Leadership: Developed and executed compliance programs, audits, policies, and procedures, including the creation of suspicious reports to ensure alignment with regulatory guidelines.
Advanced Screening: Utilized diverse screening tools like World-check, Fircosoft, LexisNexis, RDC, and Bloomberg to identify adverse news and report potential suspicious activities.
Training & Culture Builder: Collaborated cross-functionally to provide comprehensive compliance training, cultivating a culture of risk awareness and ethical behavior within the organization.
Formation
- MSc Investment Banking and Capital Markets
- Masters in Commerce - Business Management
- Bachelors in Commerce - Accounting and Finance
