Prema Sheela PJ

Bachelor’s Degree in Finance and Marketing with overall 4 years A dynamic professional in the field of Investment banking, Business operations, various Regulation within CIB (Corporate & Investment Banking) to meet regulatory requirements. Act as a subject matter expert (SME) on Client/Regulatory Due Diligence front the Regulatory team and liaising with all levels of management across customers, Global Banking & Markets. Holding multiple roles in risk / compliance business intelligence, transactional surveillance and project planning with track record of excellent analytical and research skills with strong attention to detail. To work in an environment that provides a challenging career, scope for continuous learning and a position which utilizes my skills and accomplishment to full use of my employer. To seek and maintain full-time position that offers professional challenges utilizing interpersonal skills, excellent time management and problem-solving skills. Dedicated [Industry] professional with history of meeting company goals utilizing consistent and organized practices. Skilled in working under pressure and adapting to new situations and challenges to best enhance the organizational brand.

• Bestowed with Wells Faro Champion Award in Q2 2020 & Q4 2021
• Elected as " Superstar" for Q1 2021 for SHRP FINRA 4210 Audit
• Received multiple shared success to perform throughout 2019, 2020, 2021 & 2022
• Supervised team of 8 staff members by support training , identify education opportunities and gaps through regular quality assessments.
• Achieved by completing the FINRA 4210 Periodic Review & SEG IA Compliance Quarterly Legal Notice with accuracy and efficiency.
• Collaborated with team of 3 in the development of PEGA.
• Achieved by introducing PEGA tool for atomizing manual work.
• Published various management report , involved in UAT & PROD testing as part of quarterly release.

Evolved training roadmaps for new recruit, established processes formulated SOPs/SLAs and Built an efficient team

Spearheaded end to end Periodic Review on FINRA 4210 ( Regulation )

Maintain an Audit Trail of Due Diligence performed.

Build a strong repository of the operations and domain knowledge in the team.

Ensure all end pf day SLA quality parameter are met, checklists are prepared and submitted to the supervisor on a daily basis