Preshita Salunkhe
Mumbai
Summary
Well organized and detail-oriented professional with a strong background in compliance, risk management, and regulatory adherence. Experienced in monitoring and ensuring compliance with industry standards, creating detailed reports, and maintaining data integrity. Looking for an opportunity to leverage my skills, contribute to the team, and grow professionally.
Overview
4
4
years of professional experience
5
5
Certifications
Work History
Compliance Analyst
Morningstar INC.
Navi Mumbai
08.2025 - Current
- Maintained accurate records of broker accounts, trade disclosures and employee declarations.
- Reviewed personal trading accounts to identify potential conflicts of interests when traded in blackout periods.
- Coordinated with employees and brokers to resolve discrepancies in account reporting or trade data or statements provided.
- Handled high volume of employee accounts efficiently for multiple business units which are subject to different regulations.
- Worked under strict regulatory frameworks and internal audit standards.
Compliance Executive
Union Bank of India Services Pvt Ltd
Thane
11.2024 - 07.2025
- Drafted reports on findings from investigations into possible violations.
- Created strategies to ensure the company follows regulations.
- Coordinated with external auditors to review company operations and documents.
- Prepared regular updates for senior management on compliance activities.
- Reviewed physical and digital records to assess risks and ensure compliance with guidelines.
Process Associate - Trade Specialist
Tata Consultancy Services (Client - Citi Bank)
Thane
08.2021 - 06.2024
- Scrutinized and verified trade documents, like invoices, purchase orders, and shipping documents.
- Ensured that all trade activities adhered to policies, regulations, and company standards.
- Helped resolve discrepancies related to orders, shipments, or payments.
Intern
Aditya Birla Capital
10.2019 - 02.2020
- Gained an understanding of the legal and regulatory framework, focusing on adherence to SEBI (Securities and Exchange Board of India) regulations.
- Learned about the importance of risk management to mitigate financial risk.
- Analyzed competitors’ investment strategies, product offerings, and market positioning.
Education
Bachelor of Banking And Insurance -
Keraleeya Samajam's Model College
Dombivli05-2021
Higher Secondary Certificate Examination -
V.G. Vaze College of Arts, Science And Commerce
Mulund02-2018
Skills
- MyComplianceOffice (MCO) Software
- Microsoft Office Suite
- ZOHO CRM
- Skilled in using Finacle for banking operations
- Anti-Money Laundering (AML) and Know Your Customer (KYC)
- Transaction Monitoring and Due Diligence
- Effective Communication and Team Management
Accomplishments
- Awarded Star of the Quarter (Q1 2026) for successfully clearing a six-month backlog by efficiently managing and reconciling high-volume trade data across two business units.
- Developed and implemented automated workflows using Microsoft Power Automate across multiple business units, enabling streamlined email response tracking.
- Identified red-flag transactions of Rs 9.3 Lakh in Q1 2024, Rs 23.44 Lakh in Q2, and Rs 1.72 Crore in Q3 for the financial year 2024.
- Reported 70 to 80 cases of code of conduct violations involving related party transactions between staff and empaneled partners within a turnaround time (TAT) of four weeks
- Reported total 67 partners empaneled in FY 2024-25 with a negative background verification status, yet their partner codes were still active in the CRM module.
Certification
- Anti-Money Laundering Concepts: AML KYC and Compliance
- Certificate in Compliance Management
- Prevention of Insider Trading
- Banking: Basics of Trade Finance
- BFSI Compliance and Fraud Risk Management
Timeline
Compliance Analyst
Morningstar INC.
08.2025 - Current
Compliance Executive
Union Bank of India Services Pvt Ltd
11.2024 - 07.2025
Process Associate - Trade Specialist
Tata Consultancy Services (Client - Citi Bank)
08.2021 - 06.2024
Intern
Aditya Birla Capital
10.2019 - 02.2020
Bachelor of Banking And Insurance -
Keraleeya Samajam's Model College
Higher Secondary Certificate Examination -
V.G. Vaze College of Arts, Science And Commerce