Akshay Jain
Jaipur
Summary
Dynamic professional with extensive experience at NAV India, excelling in AML/KYC compliance, investor relation and risk management. Proven track record in leading teams to enhance investor screening and onboarding processes and improve operational efficiency. Strong communicator and adaptable leader, dedicated to fostering collaboration and achieving compliance excellence in high-stakes environments.
Overview
9
9
years of professional experience
1
1
Certification
Work History
Assistant Manager - RTA Investor Services Team
NAV India
Jaipur
05.2024 - Current
- Leadership: Lead daily operations of the RTA Investor Services, World Check process team, focusing on investor screening, compliance, and due diligence.
- Streamlined: Investor onboarding process, ensuring smooth documentation, compliance, and account setup.
- Facilitated: Communication between investors and internal teams to ensure timely resolution of any issues during onboarding.
- Training: Conduct AML/KYC training to ensure adherence to due diligence requirements, and improve team performance.
- Tools: Utilized vendor tools including World-Check, Lexis-Nexis, and OFAC. Also, focused with internal software's and dashboards
- Escalation: Manage escalation procedures for high-risk investor issues, ensuring effective communication with clients, AMLCO, and AMLRO.
- Improvement: Lead projects to improve investor screening processes, identifying and implementing amendments to reduce operational risks.
- Optimization: Use internal software to streamline risk management, identify trends, and enhance due diligence processes.
- Feedback: Conduct one-on-one sessions to provide feedback, address concerns, and support team members' growth.
- Delegation: Delegate tasks within the team to ensure timely completion.
Senior Executive - RTA Investor Services Team
Nav India
Jaipur
05.2022 - 04.2024
- Maintained: To maintain accurate records of investor profiles and documents to ensure a seamless onboarding experience.
- Due Diligence: Conduct AML due diligence and investor screenings using LexisNexis, resolving discrepancies for compliance.
- Risk Management: Manage high-risk cases (PEPs/Non-PEPs), escalating issues to clients and compliance teams.
- Enhanced Screening: Perform enhanced due diligence on high-risk investors, verifying details with reports and documents. Examined suspicious activities of investors.
- Audit Administration: Administer re-audit tasks to ensure the accuracy of World-Check reports and update investor data.
- Task Allocation: Allocate daily tasks related to subscriptions, redemptions, and transfers, managing team assignments.
Executive - RTA Investor Services Team
NAV India
Jaipur
05.2021 - 04.2022
- Assisted: In creating and updating onboarding materials to ensure clear communication of processes to new investors.
- Screened: Conducted investor screenings and AML due diligence for hedge fund clients, focusing on subscription, redemption, and transfer activities.
- Categorized: Investors by risk levels, and audited investor data for compliance with internal and regulatory standards.
- Resolved: Worked with clients to flag and resolve high-risk cases for timely resolution.
Management Trainee - RTA Investor Services Team
NAV India
Jaipur
01.2020 - 04.2021
- Administered: Managed client account setups, coordinating with financial institutions for account openings and wire instructions.
- Complied: Ensured compliance in onboarding by handling documentation and liaising with banks.
- Rectified: and resolved account setup issues, collaborating with internal teams and clients for smooth onboarding.
Process Associate - Project Handling Team
Universal E-Solutions Private Limited
07.2016 - 04.2017
- Streamlined: Managed the purchase and sales order creation using QuickBooks, ensuring timely processing and accurate documentation.
- Collaboration: Coordinated with internal teams and external clients to resolve operational issues and facilitate the smooth running of projects.
- Clientliaison: communicated regularly with clients to provide updates and manage expectations related to various processes.
- Scheduling: Managed calendars, scheduled appointments, and arranged meetings and conferences.
Education
Post Graduate Diploma in Management - Finance
IILM Academy of Higher Learning
Jaipur, Rajasthan01.2019
Bachelor Of Commerce -
S.S. Jain Subodh PG College
Jaipur, Rajasthan01.2017
Skills
- AML/KYC compliance
- Risk Management
- Team Leadership
- Client Relationship Management
- Project Management
- Data analytics
- Microsoft Office
- Investor Onboarding
- Training development
- Communication
- Problem solving
- Adaptability
- Collaboration
Certification
- Rising Star Award: Recognized for exceptional performance in the RTA Investor Services - World-Check Team.
- Multi-Skilled Development: Certificate of one year diploma by FS-HRD, New Delhi in Computer based multi-skilled development.
Languages
- English, Fluent
- Hindi, Fluent
Timeline
Assistant Manager - RTA Investor Services Team
NAV India
05.2024 - Current
Senior Executive - RTA Investor Services Team
Nav India
05.2022 - 04.2024
Executive - RTA Investor Services Team
NAV India
05.2021 - 04.2022
Management Trainee - RTA Investor Services Team
NAV India
01.2020 - 04.2021
Process Associate - Project Handling Team
Universal E-Solutions Private Limited
07.2016 - 04.2017
Post Graduate Diploma in Management - Finance
IILM Academy of Higher Learning
Bachelor Of Commerce -
S.S. Jain Subodh PG College
Similar Profiles
Kundan Dev SarkarKundan Dev Sarkar
Fund Accounting Executive at NAV IndiaFund Accounting Executive at NAV India
Keagan SlupskyKeagan Slupsky
Flight Service Specialist (trainee) at NAV CANADAFlight Service Specialist (trainee) at NAV CANADA
Eileen CordickEileen Cordick
IFR Air Traffic Controller at Nav CanadaIFR Air Traffic Controller at Nav Canada