Gaurav Garg
Bengaluru
Overview
7
7
years of professional experience
1
1
Certification
Work History
Compliance Manager
Right Alpha Capital Private Limited
Bengaluru
2022.10 - 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
2022.01 - 2022.10
- 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
2017.05 - 2022.01
- 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
Chennai2017-03
B. Tech - Electrical, Electronics Engineering Technologies
VIT
Vellore2014-05
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
2022.10 - Current
Compliance Manager
Coinswitch
2022.01 - 2022.10
Senior Consultant
Deloitte AERS
2017.05 - 2022.01
MBA - Finance
Great Lakes Institute of Management
B. Tech - Electrical, Electronics Engineering Technologies
VIT
- CFA Level 2
Similar Profiles
Rupal SekharRupal Sekhar
Managing Director at Alpha Variance Solutions India Private LimitedManaging Director at Alpha Variance Solutions India Private Limited
Poustin Paulraj SPoustin Paulraj S
Technical Director at Alpha and Omega IT Private LimitedTechnical Director at Alpha and Omega IT Private Limited
Harsh PanwarHarsh Panwar
Program Manager at Alpha Design Technologies Private LimitedProgram Manager at Alpha Design Technologies Private Limited