Prasad Dhumwad
Dombivali, Mumbai
Summary
Compliance Officer at BNP Paribas India Solutions with expertise in risk assessment and team leadership. Skilled in providing data-driven insights and improving compliance oversight. Demonstrated success in utilizing MS Excel to optimize operations and maintain a client-focused approach.
Overview
16
16
years of professional experience
Work History
Compliance Officer
BNP Paribas India Solutions Pvt. Ltd.
Mumbai
08.2015 - Current
- Monitored employee conduct regarding personal account dealings, gifts and invitations offered or received, Outside Business Interests, and Conflicts of Interest.
- Reviewed vigilance hits flagged by HR for new joiners, delivering risk assessments, recommendations, and providing Compliance approval for the onboarding of candidates.
- Conducted vendor due diligence checks on negative media escalations to mitigate third-party risks, providing Compliance approval for the onboarding of the vendor.
- Delivered customized dashboards and reports to senior stakeholders, enhancing data-driven compliance oversight.
- Recruited, hired, and oversaw a team of personnel maintaining compliance.
- Executed Level 2 controls on daily business-as-usual activities, issuing findings, and ensuring timely gap closures.
- Served as primary contact for APAC local Compliance Officers, aligning policies across jurisdictions.
- Maintained detailed database of compliance data, activities and actions taken.
- Monitored compliance risk controls to identify deviations and offer recommendations.
Senior Process Expert Analyst
CMC Ltd
Mum
05.2010 - 07.2015
- Conducted analysis and data extraction from various financial documents, including annual and quarterly reports.
- Interpreted extracted data and analyzed news items to identify key measures.
- Delivered timely financial and operational insights by researching and organizing accounting data into comprehensive reports for US clients.
- Utilized client-based software to analyze financial statements of US companies, leveraging Bloomberg Terminal for data extraction.
- Provided simplified fair value assessments for investments in US and Canadian companies listed on NASDAQ and Canadian exchanges.
- Addressed client queries in real-time, ensuring timely delivery of required work.
- Consolidated and analyzed quarterly, annual, and semi-annual reports of companies.
- Developed financial reports for forecasting, trend analysis, and performance evaluation.
- Recording, classifying, and summarizing financial transactions and events in accordance with United States Generally Accepted Accounting (U.S.) GAAP Principles and International Financial Reporting Standards (IFRS).
Phone Banking Officer
Axis Bank
Mumbai
10.2009 - 03.2010
- Resolved customer inquiries regarding savings and current accounts via phone.
- Facilitated online banking assistance, including fund transfers and transaction inquiries.
- Provided real-time status updates for RTGS and NEFT transactions with necessary acknowledgments.
- Blocked debit cards promptly upon customer request to enhance security.
- Delivered information to authorized account holders exclusively, ensuring data confidentiality.
- Addressed all debit card related queries efficiently, maintaining high service standards.
- Assisted customers with various account-related queries, promoting user satisfaction.
Education
MBA - Finance
Welingkar Institute
Mumbai01-2013
Bachelor Of Commerce - Accounting And Finance
S. K. Somaiya College of Arts, Science & Commerce
Mumbai01-2008
Higher Secondary Certificate (H.S.C) - Commerce
South Indian Association Jr College
Dombivali01-2005
Maharashtra State Board of Secondary And Higher Secondary Education (S.S.C) -
South Indian Association High School
Dombivali01-2003
Skills
- Risk assessment and compliance
- Team leadership and management
- Client orientation
- Operations management
- Decision making
- Employee onboarding
- Process improvement
- MS Excel and PowerPoint expertise
Affiliations
- Good team player, having good communication and negotiation skills, with the ability to influence
- Capable of managing multiple tasks in a given environment
- Prefer working as a team, thereby achieving results
- Completing the work in the stipulated time span and without breaking the SLAs
- Self-discipline and ability to handle pressure
- Good judgment and decision-making ability
Languages
English
First Language
Hindi
Intermediate (B1)
B1
Marathi
Intermediate (B1)
B1
Kannada
Elementary (A2)
A2
Accomplishments
- CMC Ltd: Appreciation Award, Star of the Month, and Special Appreciation Award – Client Recognition (2012) for achieving key targets ahead of deadlines and playing a vital role in the successful development of a critical product
- BNP Paribas ISPL: Start of the Month, Certificate of Appreciation, People's Manager Award
Timeline
Compliance Officer
BNP Paribas India Solutions Pvt. Ltd.
08.2015 - Current
Senior Process Expert Analyst
CMC Ltd
05.2010 - 07.2015
Phone Banking Officer
Axis Bank
10.2009 - 03.2010
MBA - Finance
Welingkar Institute
Bachelor Of Commerce - Accounting And Finance
S. K. Somaiya College of Arts, Science & Commerce
Higher Secondary Certificate (H.S.C) - Commerce
South Indian Association Jr College
Maharashtra State Board of Secondary And Higher Secondary Education (S.S.C) -
South Indian Association High School
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