Mahima Sahney

I have worked as a compliance manager and was mainly involved in employee compliance projects related to review of electronic communication and monitoring, code of ethics monitoring, operational due diligence, and marketing material reviews.

Worked on due diligence, code of ethics, e comm surveillance review and project management

Support client in range of ODD project management, BIG reviews, ongoing monitoring and surveillance, hedge funds reach outs,

coordinate with the primary and secondary reviewers, along with BIG and Investment management team

Review and preparation of due diligence questionnaire,

manager’s meeting notes documentation on Dynamo,

maintain and enter the process work flow on Confluence notes

Work closely with team to provide daily guidance of tasks,

training to new joiners, and take care of the onboarding process

Review of electronic communication monitoring for corporate and field employees; Lead an

8- member team and act as a

SME; coach and guide them to identify flags and escalate them for review by business;

Worked on Lexicon improvement program, identifying and reducing false positives, meaningful sampling, suggest method for monitoring different types of communication channels

Monitoring/ coordinating activities as appropriate & preparing reports for stakeholders

KYC projects for a client include PEP check, adverse media check

Expense Compliance project; helped the stakeholders to build their internal policies and check for anomalies in filing the expenses; Supported Voice Surveillance and Pitch book reviews

Contributed to Distribution Compliance review for leading fund managers

Worked with training team for developing training modules for compliance

Published Compliance blogs and supported juniors with research and vetting the blogs

Ameriprise Financial India Private

Limited

-

09/2010

-

02/2018

Compliance Team Lead

-

Gurgaon, India

Achievements/Tasks

Led a team of five members for Electronic Communication

Review management

Led projects for social media, lexicons research & ad

-

hoc confidential research

Led a transition project of employees from LOTUS note to

Outlook and e

-

comm review revamping project

Worked on redaction, arbitration ranking and e

-

discovery projects to support para

-

legals

Have been part of Lean In Circle Ameriprise; also served as a member of engagement committee of the department

SKILLS

Project Management

Masters in Commerce

Bundelkhand University, Jhansi, India

05/2013

-

05

/2015

-

%

59

Bachelors of Business Administration

Institute of Management Studies, University of Bundelkhand

05/2007

-

05

/2020

-

73%