ASHISH SHARMA CISI.
COMPLIANCE Ast.MANAGER
Summary
Clear & Focused on the well known target with 9 years in AFC and AML/CFT Compliance with Diverse functions. Work accordingly law enforcement, relevant stakeholders, product risk and maintaining AFC & Compliance Programs. As 2nd LoD Maintain Compliance program against Financial Crimes:(AML/CFT, Tax Evasion, IT Threats etc.) is the crucial responsibility of compliance team.
" Compliance Team play a vital role in the surrounding of financial environment economy and create a compliance circle to save the Reputation and Valuable Assets of organization and that place ".
Overview
9
9
years of professional experience
1
1
year of post-secondary education
2
2
Certifications
2
2
Languages
Work History
Compliance Assistant Manager
ICBC DOHA(QFC) BRANCH
07.2023 - 02.2024
- As 2nd LoF evaluated procedures to identify and address compliance risks to Senior Management of the branch.
- Upskilled staff through targeted training opportunities, enhancing team capabilities in AML Program.
- Performed Sanction/PEP Screening against UNSC,OFAC,UN lists and regulatory list.(NCTC etc.)
- Reviewing and evaluating the adequacy and effectiveness of internal controls.
- Conducted audits and risk assessments and Implemented all regulatory guidance procedures for the Bank.
- Perform Testing and Monitoring of effectiveness and process systems relating to AML/CFT matters.
- Perform ongoing monitoring activities and Review(EDR) of the clients
- Participate in compliance ,regulatory and other related matters.
- Efficient in AML Tools for due diligenc:LexisNexis,Orbis,WorldCheck
Senior Specialist
S&P GLOBAL
GURUGRAM
02.2020 - 07.2023
- Supported KYC processes for prospective and existing customers.
- Improved understanding of financial statements, which helped in assessing risk by Screening (PEP/Sanction/Name)
- Performed Tax Forms validation FATCA/CRS Forms with rules, regulations and OECD requirements.
- Communicated negative findings to other lines of business and supplied guidance on course of action.
- Researched and verified parties involved in suspicious activities and transactions against various databases such as LexisNexis.
- Communicated with various business units to obtain necessary information for investigations.
- Investigated complex crimes, implementing strategies to assess and manage risk.
- Improved operational performance through THIRD PARTY DUE DILIGENCE process and procedure planning.
Transaction Risk Investigator
PAYTM BANK
Delhi
02.2019 - 02.2020
- Informed financial decisions by analyzing financial information to forecast business, industry or economic conditions.
- Implemented financial risk management policies, limits and strategies that complied with standards and strategic imperatives of organization.
- Trained staff on procedures and guidelines to effectively execute daily tasks.
- Created client files in SELLER PANEL systems to track transactions and create client base.
- Processed verification of deposit accounts before performing transaction.
- Organized material to research and complete writing tasks.
AML Compliance Analyst
ROYAL BANK OF SCOTLAND
Delhi
04.2015 - 01.2019
- Maintained fraud analysis models to improve company systems.
- Communicated with compliance manager to the potential money laundering or terrorist financing.
- Identified threats, vulnerabilities and suspicious behavior patterns to recommend mitigation measures.
- Interacted with law enforcement agencies, regulators and financial institutions to coordinate investigations related to fraudulent activities.
- Performed yearly reviews of bank policies and procedures to evaluate compliance with regulatory requirements and standards.
- Trained and supervised junior financial examiners, explaining procedures and protocols.
Education
CAMS - PURSUING: MONEY LAUNDERING SPECIALIST
ACAMS
U.S.A 01.2024 - Current
CISI - COMBATING FINANCIAL CRIME
CISI
U.K. 07.2022 - 06.2023
Master of Business Administration - BUSINESS MANAGEMENT
MGU
INDIA 05.2012 - 2014.12
BACHELOR OF COMPUTER APPLICATION - COMPUTER APPLICATIONS
CCSU
INDIA 08.2008 - 2012.02
Skills
Law enforcement assistance
Certification
CISI(U.K.) - COMBATING IN FINANCIAL CRIME
Contact: WhatsApp/Number
+91 8650861985
+974 59938188
Timeline
CAMS - PURSUING: MONEY LAUNDERING SPECIALIST
ACAMS
01.2024 - Current
Compliance Assistant Manager
ICBC DOHA(QFC) BRANCH
07.2023 - 02.2024
CISI(U.K.) - COMBATING IN FINANCIAL CRIME
09-2022
CISI - COMBATING FINANCIAL CRIME
CISI
07.2022 - 06.2023
Senior Specialist
S&P GLOBAL
02.2020 - 07.2023
Transaction Risk Investigator
PAYTM BANK
02.2019 - 02.2020
IIBF(INDIA) - AML/KYC
01-2016
AML Compliance Analyst
ROYAL BANK OF SCOTLAND
04.2015 - 01.2019
Master of Business Administration - BUSINESS MANAGEMENT
MGU
05.2012 - 2014.12
BACHELOR OF COMPUTER APPLICATION - COMPUTER APPLICATIONS
CCSU
08.2008 - 2012.02
Similar Profiles
Oscar JohnsonOscar Johnson
Sales Development Representative at BranchSales Development Representative at Branch
Marilynn UrestiMarilynn Uresti
Sales Representative at BranchSales Representative at Branch
Irish BacunawaIrish Bacunawa
Customer Service Representative at BranchCustomer Service Representative at Branch