Summary
Overview
Work History
Education
Skills
Certification
Timeline
CORE COMPETENCIES
Generic
PARUL SINGH

PARUL SINGH

Sr. Analyst-SME
Pune

Summary

Senior Financial Crime & Regulatory Compliance Leader with 12+ years of experience across global financial institutions and regulated entities specializing in Anti-Bribery & Corruption (ABC), AML, risk-based oversight, and control effectiveness. Proven second and third line risk leader with strong expertise in compliance monitoring, QA frameworks, management information reporting, regulatory examinations, and governance oversight. Recognized for strengthening internal controls, enhancing risk visibility, and delivering audit-ready compliance programs aligned with global regulatory expectations.

Rational Compliance officer with +12 years of experience enhancing operations for organizations through information systems solutions. Proven track record of transforming specific business goals related to growth and efficiency improvements into new system designs. Knowledgeable innovator known for recommending new technologies to enhance existing systems and introduce new systems.

Overview

12
12
years of professional experience
1
1
Certification

Work History

Senior Analyst (Regulatory Compliance & Risk Oversight)

ACA Group
03.2024 - Current
  • Collaborated as a Subject Matter Expert (SME) providing compliance oversight for SEC-registered investment advisers, ensuring alignment with regulatory requirements and internal policies.
  • Execute risk-based compliance monitoring and independent controls testing across Personal Trading, Marketing, Communications Surveillance, and Code of Ethics frameworks.
  • Assess independent reviews of OBA, Political contributions, Gifts & Entertainment registers and approvals within Compliance Alpha, ensuring adherence to Anti-Bribery & Corruption policies.
  • Scrutinized and assess high-risk requests encompassing charitable donations, Third-party relationship, while guaranteeing adherence to Anti-Bribery & Corruption policies, strengthen regulatory controls and preventing policy violations.
  • Review and assess high-risk requests including charitable donations, engagement of business development consultants, hiring decisions, and third-party relationships to ensure ABC policy compliance.
  • Lead investigative reviews involving inquiry, evidence gathering, transaction analysis, and documentation of findings.
  • Compile, analyse, and present management information (MI) and reporting statistics to senior leadership, highlighting risk trends and control effectiveness.
  • Developed standardized deficiency reporting framework, performed root cause analysis on 25+ regulatory issues, and created remediation plans reducing recurring compliance violations by 20%.
  • Assess conflict of interest disclosures and certification processes; evaluate effectiveness of preventive and detective controls reducing risk implication by 70%.
  • Provide independent challenge and advisory support to business and product teams to strengthen internal controls and mitigate bribery and corruption risks.
  • Support regulatory examinations and audits; manage regulator-facing documentation and response coordination.
  • Acted as the sole U.S.-based SME within a global compliance team having discussions with US stakeholders.
  • Supported Enhanced Due Diligence (EDD) reviews and implementation initiatives.

Additional Director & Principal Officer

Agevsto India IMF Pvt. Ltd.
05.2021 - 09.2022
  • Designed and implemented compliance and financial crime frameworks aligned with IRDAI, RBI, and PMLA.
  • Established governance structures, escalation protocols, and control monitoring mechanisms.
  • Provided Board-level reporting on compliance risk and regulatory exposure.
  • Managed regulatory filings and supervisory engagement.

Chief Compliance Officer (FCC AML)

Credit Suisse
08.2015 - 06.2019
  • Reviewed transaction monitoring alerts via Mantas and Actimize platforms.
  • Conducted AML investigations and escalated high-risk cases to MLRO and senior leadership.
  • Produced daily, weekly, and monthly MIS reports on alert trends and risk exposure.
  • Performed QA reviews of investigations ensuring regulatory alignment.
  • Supported scenario tuning and control enhancements along with Optimized AML and KYC controls by leading the implementation and operational management, ensuring rigorous screening of clients and third parties Mitigated high-level risk through expert AML and Sanctions analysis on high-risk cases and the legal review of contracts and NDAs Modernized corporate governance by redesigning the Whistleblowing Channel and drafting the Irregularities Reporting Policy Engineered data governance frameworks by defining records classification and retention rules, partnering with IT for full technical integrations.

E-Communications Surveillance

Citicorp Services
08.2013 - 11.2013
  • Investigated trade surveillance alerts for market abuse and insider trading risks.
  • Escalated suspicious conduct to Markets Compliance.

Senior Analyst (Internal Audit)

PricewaterhouseCoopers
11.2010 - 11.2011
  • Performed internal audits evaluating control design and operational effectiveness.
  • Prepared audit reports highlighting control gaps and remediation recommendations.

Education

MMS - Finance

University of Mumbai

B.Com - undefined

Kanpur University

Skills

Compliance Alpha MCO ComplySci

Mantas Actimize

Jira Asana CRM Systems

Certification

IIBF Certification – KYC/AML

Timeline

Senior Analyst (Regulatory Compliance & Risk Oversight)

ACA Group
03.2024 - Current

Additional Director & Principal Officer

Agevsto India IMF Pvt. Ltd.
05.2021 - 09.2022

Chief Compliance Officer (FCC AML)

Credit Suisse
08.2015 - 06.2019

E-Communications Surveillance

Citicorp Services
08.2013 - 11.2013

Senior Analyst (Internal Audit)

PricewaterhouseCoopers
11.2010 - 11.2011

B.Com - undefined

Kanpur University

MMS - Finance

University of Mumbai

CORE COMPETENCIES

  • Anti-Bribery & Corruption (ABC) Framework Oversight-Code of Ethics Module under SEC regulations
  • Financial Crime Compliance (AML / PMLA)
  • Second & Third Line of Defense Risk Oversight
  • Risk & Control Self-Assessments (RCSA)
  • Control Design & Effectiveness Testing
  • Quality Assurance (QA) & Thematic Reviews
  • Management Information (MI) & Dashboard Reporting
  • Regulatory Examination & Audit Readiness
  • Issue Management & Remediation Validation
  • Board & Senior Stakeholder Reporting
PARUL SINGHSr. Analyst-SME