Mandeep Rauthan

•Ensure proactive measures are taken to identify any regulatory control gaps and drive changes required to close identified gaps
• Use of compliance and registration/licensing knowledge to work across multiple Investment Banking businesses to design and implement a regulatory control framework.
• Utilizing experience of licensing and registration rules to identify any control gaps across the full scope of requirements and work to implement changes to ensure compliance.

· To perform various Licensing checks at the time of on-boarding of new advisor/staff member or corporate employee as per individual’s role requirement.

· Manage license/s transfer or applying of new license/s to adhere to the US regulatory guidelines.

· Process FINRA Initial U4 Registration for transfer existing FINRA and State specialized licenses to the organization or to open exam window/s for required license/s.

· Process Full/Partial FINRA U5 Termination to terminate employee or to cancel non-required licenses.
• Providing guidance on Registration Rules and Regulation and understand risks and apply this knowledge to perform risk assessments
• Supporting new or emerging business areas and working to identify regulatory impact and staying aware of current regulatory activity, keeping an eye on how this aligns with risks current processes, controls and policies
• Identifying opportunities to increase efficiencies by utilizing technology and be vocal and actively engage with businesses to solve issues, take ownership for, and drive projects to successful completion
• Proactively identify opportunities to improve processes and collaborate across functions and entities to drive improvements and adoption of best practices

· Support functions include

o Sending the Continuing Education Notices (120/30/5 days and final reminder) to Corporate employees, Field Advisors and their staff members in order to fulfill FINRA Licensing requirement.

o Process Outside Business Activities disclosure requesting FINRA U4 for Registered UBS employees.

o Department of Justice Results Reporting

o FINRA Purge Monitoring

· To perform various Licensing checks at the time of on-boarding of new advisor/staff member or corporate employee as per individual’s role requirement.

· Manage license/s transfer or applying of new license/s to adhere to the US regulatory guidelines.

· Process FINRA Initial U4 Registration for transfer existing FINRA and State specialized licenses to the organization or to open exam window/s for required license/s.

· Process Full/Partial FINRA U5 Termination to terminate employee or to cancel non-required licenses.

· Perform Personal and Job Data maintenance, Branch Location maintenance (Initial, Amendment and Closing) updates in Ameriprise system and in Federal and State Regulators portal to adhere SEC, FINRA and State Regulators guidelines.

· Support functions include

o Sending the Continuing Education Notices (120/30/5 days and final reminder) to Corporate employees, Field Advisors and their staff members in order to fulfill FINRA Licensing requirement.

o Process Outside Business Activities disclosure requestsin FINRA U4 for Registered Ameriprise employees.

o Department of Justice Results Reporting

o FINRA Purge Monitoring

· Managing DOJ fingerprint checks and performing background checks as per Federal (FINRA) Regulatory policies - reviewing credit, criminal and employment background check reports, determine hire eligibility of the individual, and work on reportable disclosure/s if required.

· Review and maintain all legal documents related to Hire/Transition/Termination processed to fulfill Ameriprise and Regulators Books and Records requirements.

· To perform the Onboarding and Termination for Corporate employees, Field Advisors and their staff members in company's internal systems (Workday/PeopleSoft, DCM, CICSPROD) as well as in Federal and State Regulators portal.

· Perform transitions (vertical and horizontal movements) of Corporate employees, Field Advisors and their staff members (from one advisor to another/Step-Up/Step-down) in company's internal systems as well as in Federal and State Regulators portal.

· MIS Reporting – Daily Reporting to extract new cases received, Adhoc/Special Reporting as/when data required.

· Work on weekly/bi-weekly/monthly projects or special projects (as/when required) such as DMR Request, Licenses Reconciliation, etc.

· Working closely with US Business Partners, Stakeholders (FVPs, FVP Assistants, MFREs, Onboarding Managers, RPs/RRMs and Employing Manager) and other teams in Service Delivery/HR/Compliance/CSU/Technology via emails, phone and video calls for case discussion, updates, adhoc requests, trainings, etc.

· Training of new team members.

· Stay up to date with Federal and State Regulators policies related to Finance Industry Licensing and Registration requirements.

•Reviewing and processed alerts on fraud detection systems and recommended appropriatefollow‐up.
• Assisted the supervisor with respect to exit strategy coordination.
•Creation of claims for reported fraud with client’s VISA Debit Card holders.
•Analysis and re-investigation of pre-processed rejected claims for taking necessary action.
•Investigation and research of claims for confirmation of actual frauds and acting thereon.
•Identify and trace any suspicious or high‐risk transactions and determine if there is improperactivity involved and if there is risk to the bank or its customers.

•Worked for Flipkart.com, Gurgaon as customer service executive
•Handle calls of customer and resolving issue
•Providing Return, exchange or Refunds to customer.
•Maintained APH and quality LA as per client requirement.