Jagan P
Chennai
Summary
Focused Compliance Officer bringing many years of expertise in regulatory compliance, audit procedures, project oversight and risk management. Excellent history of delivering effective leadership and training to support staff development. Driven and strategic with an aptitude for program management. Advanced knowledge of audit methodologies, functions, and compliance teams.
Overview
12
12
years of professional experience
Work History
Compliance Officer
(Senior Executive) - Computer Age Management Services
Chennai
05.2017 - Current
- Conducting daily (AML) screening to ensure the integrity of onboarding processes for new investors and maintain compliance for existing customer accounts. Additionally, using Worldcheck Login for sanction purposes.
- Investigating based on financial risk and making risk-based decisions on the payments that come through the screening process.
- Checking for any financial risk on all the highlighted hits based on intentional policies and regulatory laws
related to sanctions. - Efficiently retrieving and processing onboarding data for new investors across multiple leading Asset Management Companies, including ICICI, HDFC, HSBC, TATA, SBI and others, to facilitate daily compliance screening
- Investigating the remitter and beneficiary of the payment using client tools and Google searches.
- Adhering to regulators like OFAC/Eurpean Union/HMT/Sanction List and checking for any AML (anti-money laundering) concerns in all message-type payments.
- Using tools like CRMS , eSTR and World check to investigate the payment.
- Good Understanding of United Nations Sanctions (UN) and US Consolidated Sanctions (US Sanction
Lists) OFAC—Specially Designated Nationals (SDN).
Deputy Manager,
CAMS (COMPUTER AGE MANAGEMENT SERV
Chennai
05.2017 - Current
- Working in exchange team for ICICI Prudential Mutual fund.
- Handling exchange and Demat related activities
- Coordinate with transaction team of exchange (BSE, NSE) and clearing error for online transaction like purchase, repurchase and switch transaction
- To be reconciled and allotted shares for exchange transactions, which were received on a daily basis, and confirmation letter should be sent to the respective AMC.
- Responsible for sending the ISIN recon reports to AMC (ICICI) and management, matching RTA and Depository books (CDSL, NSDL).
- Coordinating with exchanges NSE, BSE, and ICEX to process purchase, redemption, and switch transactions smoothly.
- Coordinating with exchanges for settlement of units in investors' demat account and releasing the T+1, T+2, and T+3 payout on time to exchanges and investors.
- Initiating NFO corporate actions after successful allotment of units of NFO in MF.
- Certifed Professional in NISM II B.
Process Executive
Trayee Business Solution Pvt LTD
Chennai
09.2012 - 12.2016
- Replacement (Issuing of Renewal Card, Name Change in Card)
- Loyalty (Redemption of Bonus points and Transfer of Bonus points)
- Reversals (Reversing the charges levied)
- Account Reconciliation (Monitoring and knocking off the account entries lying as an exception)
- Suspense (Credit the funds to customer card, Savings a/c & Cop/Neft from the branch a/c)
- COA (Change of Address with customer request)
- Card closure (Close the cards according to their categories & request.
Education
Bachelor of Arts - B.COM
Sir Theagaraya Evening College
Chennai04-2008
Skills
- Regulatory knowledge
- Risk Management
- Compliance Monitoring
Timeline
Compliance Officer
(Senior Executive) - Computer Age Management Services
05.2017 - Current
Deputy Manager,
CAMS (COMPUTER AGE MANAGEMENT SERV
05.2017 - Current
Process Executive
Trayee Business Solution Pvt LTD
09.2012 - 12.2016
Bachelor of Arts - B.COM
Sir Theagaraya Evening College
Similar Profiles
SHAKTHI GANESHSHAKTHI GANESH
Executive – Mutual Fund Operations at Computer Age Management Services Ltd.Executive – Mutual Fund Operations at Computer Age Management Services Ltd.
Ankur MehrotraAnkur Mehrotra
Deputy Manager at Computer Age Management Services (CAMS)Deputy Manager at Computer Age Management Services (CAMS)
Raja GRaja G
Lead Specialist (TL) at CAMS (Computer Age Management Services)Lead Specialist (TL) at CAMS (Computer Age Management Services)
Vijayakumar RamasamyVijayakumar Ramasamy
Supply Chain Manager at Sri Jayamangalam Shop and SaveSupply Chain Manager at Sri Jayamangalam Shop and Save
Saravanan MurthiSaravanan Murthi
Associate Director IT at Chargeback Gurus Fintech Pvt LtdAssociate Director IT at Chargeback Gurus Fintech Pvt Ltd