AMIT MISHRA, CFE
Jaipur
Summary
Dynamic professional with extensive experience in fraud management and financial crime investigation in the Banking and financial services sector, Proven track record in risk assessment and stakeholder management, driving successful consequence management initiatives. Adept at conducting thorough root cause analysis and implementing effective fraud prevention strategies to enhance compliance and operational integrity.
Overview
1
1
Certification
15
15
years of professional experience
Work History
State RCU Manager
Ambit Finvest Private limited
08.2022 - Current
- Coordinated end-to-end investigations, market intelligence, procurement liaison, and pre- and post-sanction RCU activities to manage entity-level risk, ethics, and compliance.
- Supported consequence management, regulatory affairs investigations, and reporting.
- Reviewed processes and controls, employing interview techniques to gather facts from internal and external individuals, and collected information to enhance management's understanding of investigation exposures.
- Supported fraud risk assessments, mystery shopping for selected critical processes and products, fraud training, process control suggestions, fraud risk advisory, staff awareness sessions on fraud prevention and compliance requirements, EWS review and investigation, and root cause analysis for identified events.
- Implemented strategies to prevent fraud and deter unethical behavior.
- Executed comprehensive reviews of processes and controls to verify compliance.
- Procures information to assist management in understanding exposures in all matters under investigation
- Conducting Fraud Risk Assessment and mystery shopping of selected critical processes and products
- Provide training and awareness session to staff on fraud prevention techniques and compliance requirements
- Root cause analysis for identified events
- Promoted ethical standards and compliance across the organization.
Area RCU Manager
IDFC first Bank Limited
Delhi & NCR
06.2016 - 07.2022
- Oversaw and managed RCU activities to ensure compliance with regulatory standards.
- Facilitated intelligence collection and pre- and post-sanction RCU activities to enhance management of entity-level risk, ethics, and compliance.
- Supported end-to-end investigations and coordinated with law enforcement agencies and other stakeholders.
- Coordinated consequence management efforts to effectively mitigate incidents.
- Supported consequence management activities.
- Supported prevention and deterrence efforts.
- Assisted with regulatory affairs investigations.
- Conducted research for occupational investigations to gather relevant information.
- Reviewed FMR and CFR cases.
- Managed stakeholder relations.
- Assisted in managing vendor relationships to ensure service quality.
Service Account Executive
Angel Brooking Pvt Ltd
01.2013 - 08.2014
- Coordinated account communication across sales, service, and operations teams to ensure alignment.
- Maintained customer relationships through clear, timely follow-up to enhance satisfaction.
- Assisted in assessing client investment needs and guided terminal handling tasks to support effective transactions.
- Supported clients with guidance on capital market operations
- Processed terminal transactions efficiently.
Officer -Banca Channel
IDBI Capital Market Services
06.2011 - 10.2012
- Facilitated client onboarding and KYC document collection for capital market services, ensuring compliance and efficiency.
- Contributed to demat account acquisition efforts at IDBI Bank, Noida Branch, Sector-63, enhancing client portfolio.
- Strengthened customer relationships by effectively addressing inquiries and concerns, improving overall client satisfaction.
Education
PGDM - Finance and International Business
Asia Pacific Institute of Management
New Delhi, New Delhi03-2016
Skills
- Collaborative partnerships
- Crime investigation
- Risk analysis
- Compliance monitoring
- Process monitoring
- Incident response
- Root cause analysis
- Collaborative partnerships
- Client relations
- Compliance monitoring
Certification
- CFE - Certified Fraud Examiner by the Association of Certified Fraud Examiners, United States of America
- NISM Series VI (Depository Operations Module)
- NISM Series VII (Securities Operations & Risk Management Module)
- NISM Series VII (Securities Operations & Risk Management)
INTERESTS
News Article Review, Capital Market Review, Travelling
Accomplishments
- Employee of the Year Award in IDFC First Bank.
Timeline
State RCU Manager
Ambit Finvest Private limited
08.2022 - Current
Area RCU Manager
IDFC first Bank Limited
06.2016 - 07.2022
Service Account Executive
Angel Brooking Pvt Ltd
01.2013 - 08.2014
Officer -Banca Channel
IDBI Capital Market Services
06.2011 - 10.2012
PGDM - Finance and International Business
Asia Pacific Institute of Management