Assistant Vice President - Controls Assurance
ANKIT AMAN JAISWAL
Barclays
Pune,MH
8
Years of experience
Experienced Financial Crime Controls Assurance and Risk professional with over 7 years in banking and financial services across India and Australia. Specializes in control assurance, risk-based audits, and regulatory remediation with a focus on AML/CFT and KYC/ECDD. Skilled in identifying control weaknesses and developing actionable recommendations while effectively communicating insights to senior stakeholders.
Work History
Assistant Vice President (Fin. Crime) Controls
3 Months- Provided independent assurance over internal control design and operating effectiveness by conducting risk-based and ad hoc reviews aligned with bank control policies and standards.
- Created and executed detailed assessment and testing plans to detect control gaps and assess findings by severity and potential impact on operations, financial exposure, and reputation.
- Present key findings and observations to stakeholders and business units to enable corrective action planning and enhance control environment.
- Partnered with control professionals and business functions to troubleshoot complex issues and ensure uniform control testing methods across bank.
- Assisted with control documentation and knowledge-sharing outputs that strengthened colleague training and capability development.
- Monitored control-related risks across assigned workstreams while assisting policy, procedure, and governance improvement efforts.
Assistant Manager (FS Risk) Internal Audit
2 Years- Executed risk-based internal audit assignments across banks and NBFCs, evaluating operational compliance and financial controls against RBI and internal audit standards.
- Conducted independent third-party validation of management action plans for the UAE bank, following CBUAE findings, assessing remediation effectiveness, and control-design enhancements through detailed testing and stakeholder discussions.
- Spearheaded end-to-end process reviews, RCM development walkthrough, and de/oe testing across lending, AML/CFT, financial reporting, and operational processes.
- Reviewed AML/KYC controls covering customer onboarding, transaction monitoring, sanctions screening, and regulatory compliance.
- Communicated control gaps and risk-based recommendations to senior stakeholders, facilitating remediation tracking and closure validation.
- Partnered with global internal audit teams across the UK, Germany, and APAC.
Analyst KYCC and ECDD
1 Year 5 Months- Executed thorough enhanced due diligence for high-risk customers across SPVs, trusts, and complex corporate structures.
- Performed transaction monitoring investigations while supporting SMR/STR activity in accordance with AUSTRAC and FATF requirements.
- Performed AML/CFT control testing and produced documentation covering onboarding and monitoring processes.
- Executed pep sanctions and adverse-media screening through World-Check and internal systems.
- Provided AML investigation SME support for investigations and escalations; managed training and quality oversight for 13-member team.
Junior Analyst - KYCC and ECDD
1 Year 2 Months- Conducted KYC reviews and enhanced due diligence for retail and corporate customers to ensure compliance with regulatory standards.
- Maintained audit trails and documentation aligned with AUSTRAC/FATF requirements; facilitated high-risk case investigations and validated compliance.
- Analyzed operational data to identify trends, risks, and process gaps for leadership review.
- Developed recurring reports and dashboards to support decision-making and performance tracking.
- Validated data sources and resolved discrepancies to maintain reporting accuracy and consistency.
Retention Specialist (Residential and Corporates)
2 Years 4 Months- Managed residential and business customer portfolios, ensuring data privacy and regulatory compliance.
- Conducted customer verification and background checks while mentoring junior team members to enhance team capabilities.
- Managed customer retention calls to resolve churn risks and secure account continuations.
- Reviewed billing concerns and offered tailored solutions to improve customer satisfaction.
- Negotiated payment arrangements with customers experiencing financial hardship or service issues.
Education
Master of Business - Financial Management and International Business
- Recipient of Bursary Scholarship.
- Higher distinction in Financial Statement Analysis for Business and International Banking
Bachelor of Commerce - Accounting and Taxation
Skills
Crime control assurance
Control design effectiveness
Risk-based audits
AML/CFT compliance
Risk control matrices
Control governance remediation
Regulatory compliance
Transaction monitoring
Sanctions screening
Stakeholder management
Third-party risk controls
Process analysis
Timeline
Assistant Vice President (Fin. Crime) Controls
Barclays
08.2026 - CurrentRead More
Assistant Manager (FS Risk) Internal Audit
Grant Thornton Bharat LLP
08.2024 - 08.2026Read More
Analyst KYCC and ECDD
Commonwealth Bank of Australia
01.2023 - 06.2024Read More
Junior Analyst - KYCC and ECDD
Momenta Global
11.2021 - 01.2023Read More
Retention Specialist (Residential and Corporates)
Red Energy
05.2019 - 09.2021Read More
University of Wollongong
Master of Business from Financial Management and International Business
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University of Mumbai
Bachelor of Commerce from Accounting and Taxation
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