Summary
Overview
Work History
Education
Skills
Languages
Timeline
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Gauthami Rajendra

Gauthami Rajendra

Bangalore

Summary

Resourceful AVP known for high productivity and efficient task completion. Specialize in strategic planning, risk management, and team leadership. Excel in communication, problem-solving, and adaptability, ensuring successful project outcomes and operational improvements.

Overview

8
8
years of professional experience

Work History

AVP of Compliance - Principal Officer

Orient Exchange & Financial Services (P) Ltd
Bangalore
04.2019 - Current

· Framing policy and procedures of KYC-AML-CFT guidelines, as per the Master Direction issued by the RBI from time to time

· Review polices, procedures from time to time

· Monitoring Transactions in day to day business

· Screening Individuals and entities against global sanction list

Reporting of STRs and CTRs to the FIU.

· Conducting in-depth investigation into potential fraud cases

· Internal audit of branches

· Flag high risk accounts and conduct EDD process as per the policy

· Maintaining thorough and organized documentation for audit and regulatory review

· Carrying on Risk assessment as per the policy

· Liaison between Reserve Bank of India (RBI), Financial Intelligence Unit (FIU) & Enforcement Directorate (ED)

· Preparation of Board reports and appraising the Board of Directors about the compliance

· Liaison with internal counterparts to perform end to end alert reviews from fraud alert generation and monitor each and every transaction

· Adjudicate the fraud type and apply relevant mitigation steps based on the police and procedure.

Assistant Manager - Compliance

HRB and Co.
Bangalore
10.2017 - 04.2019
  • Engaged in Secretarial works as per the Companies Act 2013 requirements

Education

Bachelor of Commerce - Accounting And Finance

Surana College
Bangalore
03-2014

Master of Business Law - Law

National Law School of India University -NLSIU
Bangalore

Company Secretary - Company Secretary

Institute of Company Secretaries of India

Skills

Policy Framing

KYC compliance

AML regulations

Transaction monitoring

Fraud investigation

Sanctions screening

Stakeholder communication -RBI,FIU

Internal audit

Risk assessment

Reporting to FIU, RBI and other regulators

Languages

English
First Language

Timeline

AVP of Compliance - Principal Officer

Orient Exchange & Financial Services (P) Ltd
04.2019 - Current

Assistant Manager - Compliance

HRB and Co.
10.2017 - 04.2019

Bachelor of Commerce - Accounting And Finance

Surana College

Master of Business Law - Law

National Law School of India University -NLSIU

Company Secretary - Company Secretary

Institute of Company Secretaries of India
Gauthami Rajendra