Gaurav Garg
Bengaluru
Overview
7
7
years of professional experience
1
1
Certification
Work History
Compliance Manager
Right Alpha Capital Private Limited
Bengaluru
10.2022 - Current
- Built SOP's for all processes in business to make sure that business is compliant at all times. Made a process to follow checklist every month to mitigate any deviation and reporting to the board.
- Completed internal audit and helped business to mitigate all observations in external audit that goes in regulatory fillings. Achieved 0 observations in 1st year of business.
- Helped group companies to launch super-app by being in compliance with outsourcing policies of SEBI.
- Liaised with regulators for licensing of products like Stock broking, Mutual Fund EOP.
Compliance Manager
Coinswitch
Bengaluru
01.2022 - 10.2022
- Made dashboards for the team to mitigate all KYC issues, were able to verify and mitigate approx 26 lakh users data in 3 months with a team of 5 people.
- Liaised with ED and helped with data to solve enquiries on coinswitch that required blockchain analysis and knowledge
- Conducted RCA for fraud scenarios, fake referral rewards to save over 6 million in value
Senior Consultant
Deloitte AERS
Hyderabad
05.2017 - 01.2022
- Led large scale projects for multiple financial institutions
- Provided onsite training and support for AML workstreams at a leading US bank
- Broke down regulations into actionable requirements for business units
- MIS reporting of project to US counterpart
Education
MBA - Finance
Great Lakes Institute of Management
Chennai03-2017
B. Tech - Electrical, Electronics Engineering Technologies
VIT
Vellore05-2014
Skills
- KYC AML
- Regulations and Compliance
- Regulatory Liaising
- Internal Audit
- Project Management
- SQL
- Analytics
- Cryptocurrency
Certification
- CFA Level 2
Timeline
Compliance Manager
Right Alpha Capital Private Limited
10.2022 - Current
Compliance Manager
Coinswitch
01.2022 - 10.2022
Senior Consultant
Deloitte AERS
05.2017 - 01.2022
MBA - Finance
Great Lakes Institute of Management
B. Tech - Electrical, Electronics Engineering Technologies
VIT
- CFA Level 2
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