Kartik Karkera

As a Subject Matter Expert (SME) in adverse media content at Neotas, I specialize in identifying, analyzing, and categorizing high-risk information to ensure comprehensive and accurate due diligence reporting. I play a key role in developing and implementing risk assessment strategies, ensuring that teams follow a structured and consistent approach when handling complex cases.

My expertise extends beyond analysis to problem-solving and process optimization. I have been instrumental in resolving issues quickly and efficiently, ensuring that both the Mumbai and Delhi offices are aligned on best practices. By identifying gaps in workflows and introducing streamlined strategies, I have enhanced our team’s ability to process cases faster without compromising accuracy.

I work closely with management to discuss critical findings, deploy actionable solutions, and ensure that risk assessment methodologies are continuously refined. I provide real-time guidance, develop their hindsight on searching, and implement decision frameworks that help analysts navigate complex risk factors with clarity and confidence.

In addition to my investigative role, I ensure that enhanced due diligence (EDD), open-source intelligence (OSINT), and anti-money laundering (AML) checks are seamlessly integrated into our assessments. By proactively addressing challenges and standardizing efficient case resolution strategies, I help maintain the integrity and reliability of our reports.

I hold a BFM degree in Finance and Financial Management Services from the University of Mumbai, equipping me with a strong foundation in financial analysis, valuation, and portfolio management. My prior experience as an Equity Sales Advisor at Motilal Oswal Financial Services has helped strengthen my relation with my seniors and has eased in communicating with breaking the ice and communicating with individuals across different teams and verticals.

By combining financial expertise with investigative acumen, I am committed to enhancing due diligence frameworks, resolving issues swiftly, and ensuring that risk assessment all while considering the cost and how feasible it is for the company.

Third Party Legal Searches -

• Legal & Case Law Research: Judyrecords, Trellis, Casemine, Casetext, Unicourt, Law360, CourtListener, Vlex
• Database: BRBPublication

US Regulatory and Business Affiliation -

• Corporate & Securities Filings: US SOS Filings, US Sec (5 sites), CFTC (6 sites), Finra (4 sites)
• Financial & Compliance Authorities: NFA, OFAC, US Tax Court, Fincen
• Investigative & Watchlist Resources: ICIJ, OffshoreAlert, NSOPW, BOP
• Government & Oversight Entities: Federal Aircraft Inquiry, FAA, FEC
• Legal & Case Law Research: Pacer

UK Regulatory and Business Affiliation (90+ sites mentioned few below) -

• Corporate & Financial Regulators: UK Companies House, FCA
• Legal & Compliance Authorities: HM Courts, ICAEW, CQC, Employment Tribunals
• Legal & Case Law Research: Bailii, Sailii
• Enforcement & Investigations: NCA (National Crime Agency), SFO (Serious Fraud Office)

India Regulatory and Business Affiliation -

• Financial & Market Regulators: MCA, BSE, NSE, CDSL, NSDL, ICCL, MCX, SEBI Enforcement, SEBI Cause List
• Sector-Specific Authorities: TRAI, RERA, Bureau of Indian Standards, PFRDA, FSSAI
• Regulatory Tribunals & Oversight Bodies: National Green Tribunal, IBBI
• Legal & Case Law Research: Ikanoon

Proficient in Database: Lexis Nexis Public Records, Nexis News, Lexis CourtLink, Lexis Dockets

Intellectual Property Research: WIPO, USPTO, EPO, Google Patents, USPTO TESS

OSINT Advanced

Lexis Nexis

Created an Legal and Regulatory database for (India and Italy) to facilitate efficient and accurate searches.