Raj Pathak

Results-driven Compliance & Risk professional with 3+ years of experience in Third-Party Risk Management (TPRM), GRC, and regulatory compliance across global financial services. Proven track record at American Express leading end-to-end vendor due diligence and Enhanced Due Diligence (EDD) across 12 risk domains, SOC 2 Type II reviews, and sanctions/PEP screening using LexisNexis World-Check and Bridger. Adept at managing the full third-party lifecycle in ProcessUnity, executing QA reviews, control testing, and PRSAs, while partnering with Compliance, Audit, and Risk stakeholders to drive governance, audit readiness, and risk remediation.

MBA (Finance) with specialisation in Corporate Finance and Compliance Risk Management

Business Analyst at American Express (2025-09 – Present)

Led global TPRM due diligence & EDD across 12 risk domains in line with AmEx policies and regulatory standards.

• Led global TPRM due diligence & EDD across 12 risk domains in line with AmEx policies and regulatory standards
• Reviewed SOC 2 Type II reports, validating control design and operating effectiveness
• Performed sanctions, PEP, and adverse media screening using Bridger, LexisNexis, and World-Check, escalating high-risk cases
• Managed end-to-end third-party lifecycle in ProcessUnity, maintaining audit-ready documentation
• Executed QA reviews, PRSAs, and control testing, identifying gaps and driving risk remediation
• Partnered with Compliance, Audit, Risk, and Business stakeholders to validate third-party controls, resolve exceptions, and ensure adherence to internal risk thresholds and regulatory requirements
• Acted as a TPRM subject matter expert, supporting governance initiatives, policy adherence, second-line reviews, and continuous enhancement of third-party risk controls
• Contributed to second-line risk and assurance work, supporting control reviews, issue follow-ups, and audit readiness activities
• Worked closely with risk, compliance, and audit teams to assess third-party controls and support timely remediation actions

Compliance Analyst at Ipsos (2024-07 – 2025-08)

Performed global TPRM due diligence, including SOC2 reviews and sanctions/PEP screening.

• Performed global TPRM due diligence, including SOC2 reviews and sanctions/PEP screening
• Managed third-party lifecycle and ProcessUnity, driving risk remediation
• Executed risk-based compliance assessments to evaluate vendor adherence to regulatory obligations, internal standards, and ethical conduct requirements
• Performed control effectiveness reviews across third-party compliance domains, ensuring documented evidence supported risk conclusions
• Supported regulatory readiness and audit responses by validating compliance artifacts, maintaining traceability, and addressing reviewer queries
• Assessed inherent and residual compliance risk, applying standardized methodologies to support accurate vendor risk classification
• Contributed to continuous compliance improvement by incorporating regulatory changes, audit feedback, and emerging risk indicators into assessment practices

MBA/PGDM in Finance – Amity Business School (ABS) (2024 – 2025)

B.Sc – DR. BR Ambedkar University Agra (2021)

XIIth in English (2018)

Xth in English (2016)