NEHA BISHT

• Oversee data management for financial crime (FinCrime) issue closures, ensuring accuracy and compliance with regulatory standards.
• Conduct quality audits and track progress updates for regulatory compliance issues, maintaining up-to-date records.
• Lead and collaborate with cross-functional teams to automate internal controls and enhance business processes.
• Develop and deliver monthly and weekly compliance reports and dashboards for senior leadership, providing insights and updates on key performance indicators.
• Cultivate and strengthen lasting relationships with key stakeholders including Regional Issue Coordinators, using strong issue resolution and dynamic communication skills.
• Manage risk effectively by implementing robust Governance and Compliance procedures.
• Assist in recruitment of new team members, hiring highest qualified to build team of top performers.
• Promote a positive work environment by fostering teamwork, open communication, and employee recognition initiatives.

• Implemented and developed operational standards for Client-Onboarding, and Anti-Fraud policies and procedures.
• Held monthly meetings to create business plans and workshops on KYC checks and AML strategies to drive successful business.
• Streamlined and monitored quality check programs to alleviate overdue compliance activities.
• Collaborated closely with peers from other departments and Vendors in developing online platform for Client Onboarding and KYC check process automation.
• Achieved operational excellence by monthly review of KYC check and Client Onboarding rules and continuous streamlining of processes and implementing best practices.
• Reduced costs, optimized resource allocation, and improved efficiency in managing BAU.
• Improved team performance by providing comprehensive training and fostering a collaborative work environment.
• Consolidated vendors and renegotiated contracts to optimize costs.
• Spearheaded change management efforts for seamless adoption of new systems or processes among employees.

• Led forensic audit engagements, assessing gaps in internal policies including Procurement, TPI management, and risk management frameworks.
• Conducted thorough document reviews to gather evidence of potential fraud, while evaluating company internal policies.
• Supported Forensic audits and investigations, conducting due diligence on suspects (including top management) to uncover conflicts of interest, past performance records, and business interests.
• Managed and formulated business proposals for SFIO, NSE, government authorities, and private equity clients.
• Conducted competitive analysis to identify market trends and capitalize on emerging opportunities for growth.
• Collaborated and cultivated partnerships with external stakeholders (particularly with Japanese counterparts) to maximize business opportunities and extend network reach within the industry sector.

• Led and oversaw integrity, third-party, and senior management due diligence reviews across diverse industries and global jurisdictions.
• Conducted thorough AML checks utilizing advanced forensic methodologies to assess critical risks and ensure regulatory compliance.
• Guided clients in complex vendor onboarding processes, mergers and acquisitions, and third-party engagements, providing expert advice on regulatory frameworks and recommending tailored due diligence strategies.
• Develop and refined KYC policies and procedures, and Vendor Background check Questionnaires, aligned with industry standards, for various clients. Evaluated compliance frameworks, select appropriate software solutions, and oversee the remediation of client profiles to enhance regulatory adherence and operational efficiency.
• Facilitated comprehensive process understanding discussions with clients to identify operational challenges, assess control gaps, and implement effective risk mitigation measures.
• Managed client relationships, profitability margins, and project deliverables, ensuring seamless communication and timely updates across teams located in Delhi, Mumbai, Hyderabad, and other locations as needed.
• Led and executed high-profile projects in collaboration with international PwC member firms, customizing workflows and scope based on client-specific requirements and regulatory landscapes.
• Conducted training programs and virtual sessions for team members nationwide, fostering continuous professional development and ensuring adherence to industry best practices.
• Defined and updated Scope of Work frameworks to adapt to evolving legal and regulatory environments, maintaining the highest standards of deliverables and risk management.
• Collaborated with third-party vendors and online platforms to obtain corporate records and filings in jurisdictions with limited disclosure, ensuring comprehensive due diligence and compliance with global standards.
• Prepared compelling business proposals and collaborated with internal stakeholders to drive business development initiatives and expand service offerings in the Forensics advisory and banking sectors.

Key Result Areas:

Due Diligence Engagements:

• Managed primary international client accounts within the Counter-Party Due Diligence (CDD) team at an investment bank, conducting rigorous Enhanced Due Diligence across global markets. Performed detailed KYC checks and managed onboarding processes for corporate clients.
• Led ad hoc Due Diligence and Anti-Bribery and Anti-Corruption engagements, ensuring strict adherence to FCPA and UKBA guidelines for Third-Party Vendors in critical sectors such as Telecommunication, Financial Services, Pharmaceutical, FMCG, and Oil and Gas.
• Executed Vendor Investigation projects for multinational clients in direct collaboration with PwC US, conducting extensive background checks, UBO identification, and compliance assessments for logistics partners based in LATAM and other regions.
• Oversaw end-to-end Vendor Due Diligence for a major telecommunications firm in Bangladesh, focusing on enhanced background checks, market intelligence, and discreet investigations of vendors.
• Managed high-volume CDD projects including OFAC sanction screening, AML reviews, and targeted assessments for e-commerce clients, ensuring thorough risk assessment and compliance with regulatory requirements.
• Collaborated closely with Market Intelligence teams to validate Level 2 findings through discreet background checks and field investigations, ensuring comprehensive due diligence and accurate reporting.
• Led Stressed Asset engagements under the Indian Insolvency and Bankruptcy Code, 2018, resolving complex corporate and individual insolvency scenarios and facilitating successful resolutions.

AML Engagements:

• Led specialized AML engagements for leading banks and financial institutions, conducting detailed transaction analysis and employing advanced forensic techniques to identify UBOs and PEPs. Applied a risk-based approach to conduct thorough suspicious transaction reviews in accordance with US Patriot Act and FATF guidelines.
• Executed advanced background checks to mitigate false positives of OFAC alerts and ensure strict compliance with Bank Secrecy Act and US Patriot Act regulations.
• Prepared detailed reports on suspicious transactions, escalate findings to the compliance team for further investigation, and recommend appropriate actions to mitigate risks effectively.

• Delivered high-quality presentations showcasing key findings and recommendations to both internal stakeholders and clients.
• Conducted Level 1 and Level 2 reviews for Third Party Due Diligence projects across pharmaceuticals, Oil and Gas, and FMCG sectors in Asia Pacific, LATAM, and Europe.
• Evaluated due diligence reports on money laundering, ethics violations, regulatory investigations, and open-source intelligence for compliance and fraud risk assessments.
• Generated Enhanced Due Diligence reports detailing findings and recommendations on targets based in Singapore, Hong Kong, China, Indonesia, Japan, Malaysia, Philippines, Australia, New Zealand, UK, USA, and Canada.
• Identified red flags including OFAC sanctions, PEP and government relations, corruption, bribery allegations, credit ratings, financials, and unethical practices to assess reputational, financial, and operational risks.
• Contributed to Transaction Monitoring for a Hong Kong private bank, reviewing corporate accounts and conducting financial and sanction screenings to detect potential money laundering activities in compliance with AML regulations.

• Led Market Research projects focused on Event Management software and services, collaborating directly with the US-based Marketing Team.
• Oversaw corporate accounts of hotel chains and hospitality management firms on the Company's Supplier Network platform, aiding clients in RFP responses.
• Researched and identified suitable hospitality and event venues for clients, supporting the sales team in client acquisition.
• Supervised team members, conducted project training, and authored procedural documents to streamline workflow.