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

Experience