LAYA KANYAA

• Understood and analysed the Form & Reports and did a consolidated presentation of the inputs within the team.

• Attended Training sessions. Enrolled & Completed risk and compliance training in develop you for better understanding.

• Performed data analytics, independent research, regulatory reporting testing & validations with review for the assigned engagement.

• Involved in understanding and mapping to the reporting data elements with its legal acts and filing to ensure compliance.

• Contributed to risk assessments and compliance management of the engagement with clear understanding of the requirements of each key data elements in the assigned engagement.

• Co-ordinated and worked along with the team to ensure consistency and uniformity in the report/ workings review process.

• Comprehend NSE and SEBI circulars. Analyze the alerts that are generated through various submission of Team Members (TM) to ensure regulatory compliance.

• Co-ordinate with TM for any queries for the analysis done. Preparation of reports for the analyzed alerts. Analyze the internal audit reports submitted by members to the exchange.

• Co- ordinate with the trading members for clarification of the queries raised during analysis and escalate serious violations (if any) to the manager or provide advice to TM. Reply to member queries through phone calls/emails.

• Conducted and performed various Research, Assessment and Analysis.

• Developed risk management strategies. Conducted Regulatory risk assessment Matrix and RCM according to the engagement requirements and conducting environmental and Internal audits to ensure company meets environmental requirements.

• Prepared controls for improvements as per the SOP. Evaluated internal compliance and creating complete process documentation for future remediation analysis reference.

• Conducted regulatory risk assessment and framed controls for Regulatory compliance. Advised internal management and business partners on the implementation of compliance programs.

• Prepared country baselines controls for BFSI (Banking, Financial service institutions), Telecom and Healthcare sectors with specific to countries. Analysis done based on ISO/IEC 27001, ISO 31000 risk assessment standards, ISO risk frame work and SOC audits.