Nishtha Gulati
Compliance
Jaipur
Summary
Senior Analyst with over 6 years of experience in conducting CDD and EDD on corporate clients, ensuring compliance with global financial regulations. Expertise in AML investigations, root cause analysis, and consulting on complex financial crimes transactions and policy violations. Proficient in obtaining and maintaining regulatory KYC documentation, while effectively managing timelines and deliverables in fast-paced environments.
Overview
11
11
years of professional experience
7
7
years of post-secondary education
1
1
Certification
Work History
Senior Analyst
Quess Corp ( S&P Global)
03.2023 - Current
- Conducted Quality assurance and Customer Due Diligence (CDD) on diverse corporate clients, ensuring compliance with global financial regulations
- Obtained and maintained Regulatory KYC documentation, contributing to efficient KYC/KYCB account review operations
- Investigated highly complex financial crimes transactions, policy violations, and conducted AML reviews, resulting in enhanced risk assessment and mitigation.
Associate Manager
Sudrania Fund Services
01.2022 - 05.2022
- Streamlined administration processes for a diverse portfolio of hedge funds, crypto funds, and private equity funds, resulting in increased operational efficiency and reduced administrative errors
- Successfully managed team workflows and timelines, consistently meeting SLAs and ensuring timely delivery of daily, weekly, and monthly client deliverables, leading to enhanced client satisfaction and retention
- Conducted thorough Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) on corporate clients, detecting and preventing potential financial crimes and policy violations, thereby safeguarding the company's reputation and mitigating risks.
Senior Analyst
IHS Markit( S&P Global)
06.2019 - 12.2021
- Successfully conducted Quality Assurance for KYC/CDD remediation projects, ensuring completeness and compliance with regulatory requirements
- Conducted in-depth Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) on a diverse range of corporate clients, including Limited Liability Companies, Publicly Quoted Companies, Correspondence/Foreign Banks, Partnerships, Trusts, and Special Purpose Vehicles (SPV)
- Contributed to the successful completion of AML reviews and investigations, effectively assessing risk levels and identifying beneficial owners through thorough analysis of complex financial transactions and external data sources.
Senior Analyst
Deutsche Bank
08.2017 - 05.2019
- Led AML project KYC with a focus on 4-eye verification of cases, ensuring compliance and risk mitigation
- Conducted effective KYC/AML due diligence procedures, verifying and assessing a diverse range of clients, including listed, regulated, private, and public companies, SPVs, co-operatives, foundations, funds, governments, and joint ventures
- Successfully signed off on new client adoptions and periodic reviews, maintaining adherence to regulatory requirements and internal policies, and consistently meeting SLAs for timeliness and quality.
Senior Law Coordinator
V.S Chauhan and Associates, Delhi
01.2016 - 02.2017
- Successfully managed client interactions, ensuring satisfaction and maintaining positive relationships
- Drafted and filed cases before multiple courts, demonstrating expertise in legal documentation and processes
- Efficiently maintained case files and organized comprehensive information, documents, and data for effective case management.
Analyst
HCL Technologies
07.2014 - 12.2015
- Successfully handled an Anti-Money Laundering (AML) KYC project for corporate clients across multiple locations, including the UK, US, and India
- Verified threshold limits for each account (new and existing) and exercised due diligence, resulting in the identification and prevention of suspicious transactions
- Ensured strict compliance with KYC guidelines, Foreign Contribution Regulatory Act 1976, and anti-terrorism measures, minimizing the risk of potential fraudulent activities.
Education
Post Graduate Diploma in Human Resource Management - undefined
Symbiosis Pune
01.2014 - 04.2015
M.COM - undefined
University of Kota
01.2013 - 04.2015
B.COM - undefined
University of Kota
01.2010 - 04.2013
Certification
Information Technology in Corporate Environment (Aptech 2013)
Training
- Investment Banking
- KYC Fundamentals
Timeline
Senior Analyst
Quess Corp ( S&P Global)
03.2023 - Current
Associate Manager
Sudrania Fund Services
01.2022 - 05.2022
Senior Analyst
IHS Markit( S&P Global)
06.2019 - 12.2021
Senior Analyst
Deutsche Bank
08.2017 - 05.2019
Senior Law Coordinator
V.S Chauhan and Associates, Delhi
01.2016 - 02.2017
Analyst
HCL Technologies
07.2014 - 12.2015
Post Graduate Diploma in Human Resource Management - undefined
Symbiosis Pune
01.2014 - 04.2015
M.COM - undefined
University of Kota
01.2013 - 04.2015
B.COM - undefined
University of Kota
01.2010 - 04.2013
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