Shreya Gupta

• Conduct vendor/customer/investor due diligence, background research work, open domain searches, database searches and making due diligence reports. I also review and
  quality check due diligence reports of other Executives.
• I have been and is currently acting as a Quality Checker, handling a team of 4-5 analysts for AML projects which includes KYC process, research work and reviewing full file builds/reports.
• Have acted as a Team Member in various investigation projects and have conducted investigations for some of our renowned clients.

Below is a glimpse of few projects I have/currently working on:

Client: Santander UK

Duration: July 2021-present

Project type: AML-KYC investigation

Role: Quality Checker (QC)

• Handling a team of 3-4 analysts and provide training to them
• Conduct quality check on the analyst’s reports.
• Monitor status, including daily targets not achieved and ageing of the cases that are assigned to the team members
• Provide daily updates to the project managers

Client: UBS

Duration: August 2019- February 2020

Project type: AML-KYC investigation

Role: Analyst/QC

• Prepared AML-KYC investigation reports
• Conducted L1 searches and database searches including Lexis Nexis and World Compliance to identify any issues related to financial crimes, insider trading and PEPs & Sanctions.
• Managed a team of 4-5 members and conducted QC and reviewed the analyst’s reports

Client: Nykaa E-Retail Private Limited

Duration: 2020- 26 March 2021

Project type: Investigation

Role: Team Member

• Investigation on customer complaints pertaining to fictitious special offers, prizes and gifts upon making purchases from Nykaa.
• Conducted L1 searches to understand the modus operandi of such online fraud trend.

Client: Hindustan Zinc Private Limited/Everest Industries

Duration: 2021

Project type: Whistleblower investigation engagement. E-mail and system review and L1 searches.

Role: Team Member

• Conducted e-mail reviews and system review on the suspects to check for vendor kickbacks, bribery and corruption allegations
• Analysed bank statements of the suspects
• Conducted L1 searches on the suspects

Client: Titan Company Limited/IHCL/VFS

Duration: Ongoing

Project type: Third Party Due Diligence

Role: Team Member and QC/Reviewer

• Prepared 70+ vendor due diligence reports
• Conduct in-depth L1 searches on the vendors of the client, including adverse information pertaining to Sanctions & PEPs, negative media related to issues like corruption and crime.
• Have reviewed and executed reports.

• Conducted vendor due diligence and made due diligence reports.
• During my tenure I have also worked on an AML project for 11 and a half months in which I have gained an experience in transaction monitoring, making enhanced due diligence reports and reviewed transactions which includes experience in KYC.
• Have also worked on whistleblower investigation projects which included making L1 reports and E-mail review on the suspects, L1/database searches.

Below is a glimpse of few projects I worked on:

Client: Standard Chartered Bank

Year: 2014

Project type: AML-Transaction Monitoring investigation

Role: Analyst

• Prepared AML-KYC investigation reports
• Conducted L1 searches and database searches including Lexis Nexis and World Compliance to identify any issues related to financial crimes, insider trading and PEPs & Sanctions.

Client: Food Panda/Hero Honda

Year: 2014-15

Project type: Whistleblower investigation engagement. E-mail and system review and L1 searches

Role: Team member

• Conducted e-mail reviews and system review on the suspects to check for vendor kickbacks, bribery and corruption allegations
• Conducted L1 searches on the suspects

Client: Amazon Seller Services Private Limited

Year: 2014-15

Project type: Third Party Due Diligence

Role: Team member

• Prepared 50+ customer due diligence reports
• Conduct in-depth L1 searches on the vendors of the client, including adverse information pertaining to Sanctions & PEPs, negative media related to issues like corruption and crime.
• Have executed customer due diligence reports.

Edited news articles from news agencies like PTI, IANS, ANI and uploading them on our website, writing news articles and features, editing photos, making webpages and slide shows.

Job profile included reporting, editing and writing news and feature articles.

Job profile included writing of scripts for shows and assisted producers of the show in packaging.

Job profile included writing and editing of write- ups for our client “India Mart”, write up includes, the complete profile and product page of any particular organization engaged with India Mart.

Job profile included getting the raw feed converted and edited into a complete news package. Apart from this, my profile also included cutting short the sound byte. Besides, worked for the copy desk team and translated the Hindi news report to English.