May 2024 – Jan 2026 · 1 yr 8 mos · Bengaluru, Karnataka, India · Hybrid

• Compliance (Surveillance)
• ● Ensured PMLA compliance through strong knowledge of onboarding and KYC workflows.
• ● Performed daily transaction monitoring, alert review, and escalation of suspicious activity.
• ● Analysed complex customer and transaction data to identify AML risk patterns.
• ● Prepared GOS and filed STRs with FIU-IND.
• ● Drove process improvements and automation across business units.
• ● Tracked regulatory updates and emerging fraud/AML trends.

Sep 2023 – Mar 2024 · 6 mos · Bengaluru, Karnataka, India · On-site

Oct 2022 – Aug 2023 · 10 mos · Bengaluru, Karnataka, India · Hybrid

• At HSBC, India I worked as an Assistant Manager of regulatory compliance from October
• 2022 to August 2023. During my tenure, I was responsible for E-com surveillance compliance processes and ensuring that the company adhered to all applicable regulations
• and laws:
• ● Review, investigate, and escalate alerts generated by the Surveillance system.
• ● Identify breaches of internal policies surrounding Information Boundaries or individual behavior that may signify potential risk to the company and/or its clients, in particular, that of Market Abuse risks.
• ● Assist with the User Acceptance Testing (UAT) of newly developed monitoring tests.
• ● Maintain HSBC internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.

Mar 2020 – Sep 2022 · 2 yrs 6 mos · Bengaluru, Karnataka, India

• At FYERS Securities Ltd, I worked as a Compliance Executive and managed all aspects of compliance in an international securities firm. In this role, I was responsible for:
• ● Handling of Investor complaints against Fyers Securities in SEBI/NSE/MCX/CDSL
• ● Analysis of client’s complaints and interact with investors and resolve their queries to resolve grievances efficiently.
• ● Collate investigation reports as required from various cross-functional departments and conclude the complaint investigations.
• ● Preparing required documents and submission of responses to Regulatory authorities
• ● Presenting or attending GRC / Arbitration / Appeal
• ● Escalation of grievances to relevant departments
• ● Review practices and Handling of compliance matters
• ● Review and update internal policies

Sep 2019 – Feb 2020 · 5 mos · Bangaon Area, India

• • Assisted customers in making profitable and safe investments and increasing revenues

Apr 2019 – Sep 2019 · 5 mos

• I joined Kotak Securities Ltd. It was a fun place to be at maybe because it felt like I was finally at the center of the periphery. However, I played a relatively insignificant role of dealing and customer support. I say insignificant because the the senior dealers were more equipped in experience than me in executing orders at record speed.
• My takeaways from here:
• How to punch buy/sell orders like a pro.
• How to manage risks of the trading system.
• How to generate revenue and achieving KRA.
• How to drive more effectively in the peak hours of traffic.

Aug 2016 – Mar 2019 · 2 yrs 7 mos