Summary
Overview
Work History
Education
Skills
Certification
Majoraccomplishments
Timeline
Generic

Prity Samanta

Compliance professional
Bengaluru

Summary

Financial services professional with 13 years of versatile experience within Asset Management and compliance. Proactive with demonstrated leadership abilities, strategic planning expertise and problem-solving acumen. Assists Management with accomplishing demanding targets by encouraging staff and coordinating resources. Methodical and well-organized in optimizing coverage to meet operational demands.

Overview

14
14
years of professional experience
4
4
Certifications

Work History

Assistant Manager

State Street Mumbai Pvt. Ltd.
8 2019 - Current
  • Managing a team of 8 people
  • Supervised day-to-day Investment Compliance (post-trade) operations to meet performance, quality and service expectations.
  • Improved customer satisfaction by addressing and resolving complaints promptly and following up at regular intervals.
  • Developed strong working relationships with staff, fostering a positive work environment.
  • Ensures Standard Operating Procedures are being followed and updated quarterly
  • A portion of the time is also spent on daily basis resolving client data quality issue and bring all the data compliant


Investment Compliance Associate

Invesco Asset Management (India) Pvt. Ltd
05.2018 - 08.2019
  • Monitoring daily review of compliance alerts and warning in portfolio transaction based on different compliance investment restriction as per regulatory guidelines
  • Maintaining restricted list like Insider block, FCA block, Threshold block, PCP block ensuring necessary systems are updated
  • Preparing different management task like Monthly matrix which goes to senior management
  • Gaining deep understanding different regulation like OFAC, UCITS, FCA is part of job.
  • Worked varied hours to meet seasonal and business needs.

AML Compliance Analyst

Tata Consultancy Services (HSBC Bank Project)
05.2015 - 03.2018
  • Coordinate the activities associated with corporate client onboarding or modification events to develop full understanding of client CDD or EDD profile
  • Preparing client Risk rating like High risk or low medium risk followed by performing extra checks
  • Monitoring client account to determine any suspicious activity and preparing Suspicious Activity report.
  • Improved interdepartmental communication by collaborating with various teams to identify and mitigate risks associated with money laundering.
  • Maintained strong relationships with regulators, promptly addressing inquiries in order to demonstrate commitment towards compliance standards.

Trade Compliance Analyst

Tata Consultancy Services (Citi Bank PLC Project)
03.2012 - 04.2015
  • Reviewing Letter of Credit, Document check, Guarantee against LC, Collecting different trade product charges from Client's Bank
  • Responsible for reviewing and screening of all the parties as per compliance or regulatory requirement like OFAC
  • Collaborated with cross-functional teams to address potential trade compliance issues arising from product development or marketing initiatives.
  • Submitted and verified domestic and international authorizations and licenses for legal movement of goods across borders.
  • Monitoring any changes related to Sanction list, Boycotted/Boycotting country or product

Process Associate

IBM Daksh
01.2011 - 02.2012
  • Handling client query, sending report to management
  • Banking Support, signature verification
  • Sending escalation for any signature mismatch, follow-up etc.

Education

MBA: Finance -

ICFAI University

BBA: Finance - undefined

Narula Institute Of Technology

Skills

Operations Management

Product and service knowledge

Proficiency in Advance Excel

Strategic Planning

Workload Management

Well versed with different compliance Monitoring system

Compliance understanding

Staff Supervision

Positive Attitude

Time Management

Multitasking

Certification

Certificate in Academy of International Trade Finance Part 1 and 2

Majoraccomplishments

  • Spearheaded migration of compliance operations from legacy system (MIG) to CRIMS (Charles River, CRD) for some of the most critical North America clients
  • Automated multiple manual processes in efficiency save of ~3 FTE
  • Won multiple 'BRAVO Awards' conferred basis Client feedback and from client service partner, team and BU head

Timeline

Investment Compliance Associate

Invesco Asset Management (India) Pvt. Ltd
05.2018 - 08.2019

AML Compliance Analyst

Tata Consultancy Services (HSBC Bank Project)
05.2015 - 03.2018

Trade Compliance Analyst

Tata Consultancy Services (Citi Bank PLC Project)
03.2012 - 04.2015

Process Associate

IBM Daksh
01.2011 - 02.2012

Assistant Manager

State Street Mumbai Pvt. Ltd.
8 2019 - Current

MBA: Finance -

ICFAI University

BBA: Finance - undefined

Narula Institute Of Technology

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