Sumita Bose

Full Time Mother - Self

(2021-04)

Compliance Analyst (Generalist, advisory) - Dimensional Fund Advisors - London

(2018-09 - 2021-03)

• Preparing monthly Compliance Committee Management Information and Quarterly Board Reports for different fund structures including OEICs, Irish Plcs
• Liaising with several departments including Legal, Operations to derive raw statistics for monthly collation and reporting
• Responsible for FCA Submissions including CMAR, PSD002 and approved persons applications to FCA
• Maintaining internal registers for gifts and entertainment (Charles Swarb), personal dealing approvals, escalating probable breaches to senior management
• Undertaking scoping of SMCR project in the firm with Compliance
• Advisory and policy monitoring to front office personnel

Compliance Monitoring & Financial Crime Analyst - EFG Bank - London

(2017-11 - 2018-02)

• Undertaking Standard Periodic Risk Reviews on existing clients, which entailed analysing customer files in detail and undertaking due diligence (KYC) processes
• Liaising with CRM's to ensure all documentation is obtained for corroboration purposes particularly, on source of wealth and source of funds of the client
• Conducting World Checks, Land Registry Checks, running AUM's for clients
• Using JMLSG in determining risk ratings for client's jurisdiction and activity
• Monitoring existing client fund activity, identifying any suspicious transactions (transaction monitoring)
• Identifying EDRs and escalating PEPs associations for further review
• Assisting in preparing Management Reports for monthly Board Risk Committees
• Daily monitoring and surveillance of suspicious trades on LiquidMetrix software for market abuse alerts
• Engagement with key stakeholders for updates on open recommendations
• Daily use of systems Jupiter, LA Retrieve and Globus

Lead Investigations Paralegal in Wholesale Enforcement - The Financial Conduct Authority - London

(2014-06 - 2017-04)

• Investigating suspect trades conducted by brokers of a brokers firm and also senior individuals for compliance failures and improper conduct
• Evolved from case management oversight into training and managing more junior paralegals
• Maintaining daily records and tracking evidence logs
• Carrying out analysis on technical trade records, audio calls and producing Master chronologies of key materials
• Reviewing relevancy of evidence on electronic platform called EMS
• Preparing bundles and attending suspect/witness interviews
• Drafting correspondence to all parties and internal memos
• Researching the broker's in house compliance policies, systems and controls for compliance with recent Regulations

Paralegal in International Arbitration and Dispute Resolution - WilmerHale LLP - London

(2014-02 - 2014-04)

• Worked on a number of large-scale international cases, produced electronic bundles for hearings, redacted documents using Adobe Pro
• Cite checked and reference proofed cross scripts and submissions
• Attended IDRC and assisted in hearings

Paralegal in Wholesale Enforcement - The Financial Conduct Authority - London

(2013-08 - 2014-01)

• Worked on a disclosure review on the JP Morgan Investigation relating to mis-marking of the Synthetic Credit Portfolio and associated losses
• Conducted audio review of banker's calls on the EMS
• Drafted statutory letters to the bank's compelling further information under FSMA 2000

Paralegal in Commercial Litigation - Dechert LLP - London

(2011-03 - 2013-04)

• Worked in a small team on a commercial litigation dispute, involving a high profile Oligarch, listed within the top 20 cases of 2012 (The Lawyer)
• Closely assisted the partner and senior associate with disclosure stage in the proceedings and assisted on review on EDR platform
• Solely responsible for producing bundle of foreign language documents for translation and liaised with third party translators relating to invoices
• Co-ordinated all financial documentation for analysis for the forensic accountants
• Analysed alleged fraudulent payments from various entities and presented this to the partner for client query
• Heavily involved in preparation for trial

Paralegal in Commercial Litigation - Addleshaw Goddard LLP - London

(2010-03 - 2011-02)

• Worked in a large team exclusively on a high profile, multi-billion pound Russian Oligarch dispute, listed within the top 20 cases of 2010 (The Lawyer)
• Managed the process of evidence logging onto electronic platform Ringtail for review
• Updated internal databases to reflect new materials received and liaised with third party I.T providers when issues arose
• Conducted research relating to Russian Banks, the Chancery Guidance and the Civil Procedure Rules
• Proof read large documents and manually marked up Partnership Agreements
• Assisted largely in preparation for Case Management Conferences and attended Royal Courts of Justice

Compliance and Risk Diploma - Compliance and Risk - CISI

Legal Practice Course - Law - BPP Law School, London (2008-09 - 2009-06)

Part-time Graduate Diploma in Law - Law - BPP Law School, London (2006-09 - 2008-06)

BA - English - Brunel University, Uxbridge (2002-09 - 2005-06)

A.S & A-Levels - Mellow Lane Sixth Form, Hillingdon (2000-09 - 2002-06)

GCSE's - Mellow Lane Secondary School, Hillingdon (1995-09 - 2000-06)