Summary
Overview
Work History
Education
Skills
Accomplishments
Certification
Timeline
Generic

CHITRANSH VERMA

Regulatory Compliances And Financial Crime Threat Mitigation
Bangalore,KARNATAKA

Summary

Seasoned Analyst offering three years of BFSI industry success. Expert on business and systems requirements, user acceptance testing and end-user training. Accomplished at leveraging past lessons to inform future decision-making.

Watchful Financial Crimes Specialist ready to bring excellent analytical and investigatory skills to a new company.Skilled in writing thorough reports, explaining complex financial matters and communicating with a wide range of people. Skilled at preparing and submitting regulatory documentation, including reviewing materials, technical data and accuracy of filings. Articulate and personable with exceptional data analysis, report writing and recordkeeping abilities. Detail-driven Compliance team member focused on maximizing company compliance with applicable laws and standards. Knowledgeable about internal controls, process evaluations and procedural reviews. Proficient in SAP,Bloomberg,Sentinel,ML Verify,Vkmaore.

Overview

4
4
Certifications
5
5
years of post-secondary education
6
6
years of professional experience

Work History

Assistant Manager

HSBC
Bangalore , Karnataka
01.2021 - Current
  • Led cross-functional teams to analyze and understand enterprise-wide operational impacts and opportunities of technology change
  • Identify improvements and assist in the on-going development of systems to improve the efficiency of monitoring.
  • Assist with the User Acceptance Testing (UAT) of newly developed monitoring tests and various new products.
  • Production of accurate and in-depth Management Information (MI).
  • Foster a close relationship with the various teams, both on and off-shore.
  • Assessed impact of current business processes on users and stakeholders and evaluated potential areas for improvement.This system is designed to identify Breaches of internal policies surrounding Information Boundaries or individual behavior that may signify potential Risk to company and / or its clients’, in particular that of Market Abuse risks.
  • Undertaking daily, weekly and monthly monitoring tests to ensure that the risks within the Surveillance RC Monitoring plan are mitigated.
  • Achieved success in automation by analyzing claim operations, data and system issues to identify discrepancies for troubleshooting and corrective action.
  • Automation of various routine regulatory requirement in the system using technology support.

Senior Executive

The Multi Commodity Exchange of India Limited, MCX
Mumbai, Maharashtra
06.2018 - 01.2021
  • Performed periodic reviews of exchange policies and procedures to evaluate compliance with regulatory requirements and standards.
  • Developed and delivered compliance training to team members.
  • Collaborated with various department to achieve better cross department functioning .
  • Prepared Business Information system (BIS) for the development of new and updated alert system including migration to web based platform,defining new requirement to Technology team,testing of environment along with troubleshooting and successfully launch under guidance of Regulators and management.
  • Performed periodic reviews and reports on merchants to comply with rules, regulations and KYC requirements.
  • Reviewed new prospect KYC documents to meet requirements and determine business model risk.
  • Real time monitoring of market movement and reporting to SEBI, Query building for data mining through WEBI and BO applications, Contributing to the continuous improvement (effectiveness and efficiency) of surveillance system/methods and formulating effective parameters for Market Monitoring, Factoring current event and news into the price discovery process and analyzing its impact. Preparing daily, weekly, monthly and quarterly MIS reports regulatory and non-regulatory reports.
  • UCC process including activation/deactivation, debarment of entities as per SEBI directives.
  • Perform and identified the gaps in UAT(Testing environment) system of Member MOCK, Disaster Recovery MOCK trading and accordingly communicated to Systems Team for easy and streamline solution.
  • Tested trading and surveillance environment for any new requirement and any ongoing system improvements.
  • Preparing and Uploading of daily website reports and various SEBI reports on website.
  • Handled DR (Disaster Recovery) site as per regulators and developed the team as per the requirements and guidelines.

Article Assistant

Sachin Jain & Co.
Ajmer, Rajasthan
04.2014 - 10.2016
  • Reconciled reports to supporting documents in accordance with established internal controls, as outlined on daily/weekly/monthly/annual checklists.
  • Responsible for filing and reviewing tax returns.
  • Assisted with credit-related activities, including processing of credit applications.
  • Maintained an efficient collection process to include an organized filing and tracing system.
  • Processed quarterly vault and ATM audits with zero error rate.
  • Developed and implemented corrective actions to bring business areas in line with standards.
  • Facilitated financial and operational audits, working with internal and external managers to communicate recommendations or issues surrounding audits.
  • Identified management control weaknesses and provided value added suggestions for remediation.

Article Assistant

DH consulting Pvt.Ltd. (Haribhakti & Co.)
Ahmedabad, Gujarat
04.2013 - 03.2014
  • Risk and advisory services : Exposure and valuable experience (as key member of the team) Internal & Tax Audits, Internal Checks & Controls, concurrent audit and preparation of Internal Audit Manual.
  • Maintained a thorough understanding of business processes, auditing standards and related risk and control frameworks.
  • Fostered and maintained relationships with clients to facilitate audit execution.
  • Initiated discussions with clients for further understanding of business unit and identified potential areas of audit impact.
  • Developed understanding of company audit methodology, approach and tools while working under supervision of licensed auditors.
  • Identified major risk areas and gaps in internal controls, process notes and risk control matrices to plan and perform audit procedures.
  • Interviewed business owners, explained audit scope and conducted exit interviews of audit findings.

Education

PGDM - Financial Markets

National Institute of Financial Management
Faridabad
05.2017 - 05.2018

IPCC -

Institute of Chartered Accountants of India(ICAI)
06.2013 - 01.2015

Masters - commerce, Accountancy and business statistics

Maharishi DayanandSaraswati University

Bachelors - commerce

Maharishi Dayanand Saraswati University
05.2011 - 01.2014

Common Proficiency Test - undefined

CPT - undefined

Institute Of Chartered Accountants of India (ICAI

Skills

    Planning and Coordination

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Accomplishments

  • Recommended and promoted to senior executive in a year with proactive learning and implementation.
  • Suggested proper control framework for better work environment.
  • Won the National level Contest for Science Exhibition conducted by CBSE in Pune.Develop a Bathing machine forHandicapped Persons in Science Exhibition and participate in National level Science exhibition.
  • Achievement oriented with an ability to manage change with ease.
  • Proven strength in problem solving, coordination and event analysis.
  • Strong communication, interpersonal, learning and organizing skills.
  • Collaborated with team of technology in the development of new alert generation system.
  • Automation of various routine regulatory requirement in the system using technology support.

Certification

NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination

Timeline

Assistant Manager

HSBC
01.2021 - Current

Senior Executive

The Multi Commodity Exchange of India Limited, MCX
06.2018 - 01.2021

NISM-Series-I: Currency Derivatives Certification Examination

04-2018

NISM-Series-VIII: Equity Derivatives Certification Examination

03-2018

NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination

01-2018

NISM-Series-VII: Securities Operations and Risk Management Certification Examination

10-2017

PGDM - Financial Markets

National Institute of Financial Management
05.2017 - 05.2018

Article Assistant

Sachin Jain & Co.
04.2014 - 10.2016

IPCC -

Institute of Chartered Accountants of India(ICAI)
06.2013 - 01.2015

Article Assistant

DH consulting Pvt.Ltd. (Haribhakti & Co.)
04.2013 - 03.2014

Bachelors - commerce

Maharishi Dayanand Saraswati University
05.2011 - 01.2014

CPT - undefined

Institute Of Chartered Accountants of India (ICAI

Common Proficiency Test - undefined

Masters - commerce, Accountancy and business statistics

Maharishi DayanandSaraswati University

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CHITRANSH VERMARegulatory Compliances And Financial Crime Threat Mitigation