Sushmita Gaikwad

An aspiring investment banking professional with a certificate in IB Operations from Imarticus Learning. A person with a positive mindset and a strong quest to learn new things. Possesses robust core knowledge related to corporate actions, trade life cycle, asset management, and financial markets. Looking forward to utilizing these qualities to contribute effectively and grow within a professional organization.

Associate Compliance — Process: Risk & Regulatory at Aditya Birla Finance Capital (2021-06 – 2024-01)

• Responsible for end-to-end workflows towards Suspicious Transaction Reporting (STR) files.
• Developed and implemented compliance processes and procedures to ensure regulatory requirements are strictly met.
• Evaluated and monitored company compliance with relevant laws, regulations, and industry standards.
• Collaborated cross-functionally with internal departments to ensure full compliance with all applicable laws, regulations, and corporate policies.

Analyst — Process: AML & KYC at eClerx (2024-02 – 2024-10)

• Handled core day-to-day responsibilities concerning Anti-Money Laundering (AML) and Know Your Customer (KYC) compliance.
• Managed risk profiles for Money Services Businesses (MSB), Third-Party Payment Processors (TPPP), Economic Sanctions, Brokers, and Dealers.
• Managed daily transactional lifecycles closely tied with the sales and distribution of financial market products.

Bachelor of Management Studies in BMS – Vidyalankar Institute of Technology College (2018 – 2021)

Higher Secondary Certificate in HSC – S.R.P College (Mumbai University) (2016 – 2018)

Secondary School Certificate in SSC – Chembur Karnataka High School (2016)