Summary
Overview
Work History
Education
Skills
Certification
Accomplishments
Timeline
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Rajarshi Chakraborty

Rajarshi Chakraborty

Kolkata,WB

Summary

Motivated professional with over 10 years of experience within the financial sector. Experienced in monitoring complex account activities. Strong relationship management skills. Highly adept at comprehensive AML, KYC, OFAC policies, transaction and project management. Exceptional skill in interpreting and summarizing regulations to drive organization-wide compliance.

Overview

10
10
years of professional experience
1
1
Certification

Work History

Internal Controls and Compliance Assistant Manager

Accenture
02.2022 - Current
  • Manage and facilitate client due diligence of KYC records for all types of Institutional clients, primarily High Risk level clients.
  • Coordinate and manage relationship with client owners across various regions to ensure assigned KYC record sare handled according to the firm\'s internal, USA Patriot Act, Bank Secrecy Act (BSA), Anti-Money Laundering Act (AML) OFAC and specific country requirements.
  • Review KYC records for accuracy, completeness and validity; analyzing client\'s financial reports, overall business, prospects, and CIP documentation.
  • Communicate daily updates to Senior Managers and key stakeholder on the status of Client\'s KYC records.
  • Discuss and escalate any complex issues surrounding client types, structures and CIP requirements with Quality Assurance team.
  • Provide control functions such as requesting and receiving KYC record sign offs from client owners.
  • Subject matter resource for KYC/AML due diligence teams and train newly hired individuals.

Senior Audit Associate

Deloitte
07.2018 - 01.2020
  • Provided analytical insight, compliance support and superior client management for High Net Worth accounts.
  • Worked on a variety of client engagement acceptance processes, primarily focused on assisting global client acceptance process.
  • Studied financial statement of proposed attest clients and projected variance, analysis, flux analysis to assess financial health of the company and independence risks.
  • Analysing situations requiring independence assessments for potential new audit clients, maintaining the firm's independence policies, comply with all relevant internal policies before accepting a client and prepared regulatory documents..

Assistant Quality Manager

Karvy Computershare
11.2016 - 10.2017


  • Monitored the adherence to the regulatory requirements related to securities transactions, operational practices and processes and reported accordingly.
  • Improved quality processes for increased efficiency and effectiveness.
  • Monitored staff organization and suggested improvements to daily functionality.

Advisory Analyst

PricewaterhouseCoopers Service Delivery Center
04.2011 - 10.2016
  • Worked as the member of global research team which conducts independence audit of PwC employees ensuring compliance with global regulatory bodies.
  • Studied portfolios of employee's consisting of various financial instruments and audited for permitted services as per independence policies, handed out sanctions as & when required.
  • Handled incoming pre-clearance requests and personal independence queries of employees on a daily basis, updated restricted/recommended securities list and maintained databases.
  • Responsible for making PwC partners and employees financially independent of PwC’s audit clients, including their affiliates.

Education

MBA - Finance

Globsyn Business School
Kolkata
03.2011

Skills

  • Policies and Procedures Adherence
  • Know Your Customer (KYC)-Anti-Money Laundering (AML)
  • Client due diligence
  • Complaint Investigation
  • Research & Analysis
  • Reporting Requirements
  • Regulatory compliance
  • Personal Independence

Certification

Certificate in International Finance and Risk Management & Energy Trading from A.B. Freeman School of Business, Tulane University, USA in 2011.

Accomplishments

  • Company Recognition
    Received Star Award from PwC in 2015 for being one of the most dependable employees.
  • Process Improvement
    Worked in close collaboration with internal teams, acting as SME to improve local due diligence process by implementing and comply with domestic and international regulatory requirements by streamlining end to end process.
  • Targets and Completions
    Achieved monthly KYC remediation targets as one of the top KYC support, with high volume record completion.

Timeline

Internal Controls and Compliance Assistant Manager

Accenture
02.2022 - Current

Senior Audit Associate

Deloitte
07.2018 - 01.2020

Assistant Quality Manager

Karvy Computershare
11.2016 - 10.2017

Advisory Analyst

PricewaterhouseCoopers Service Delivery Center
04.2011 - 10.2016

MBA - Finance

Globsyn Business School

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Rajarshi Chakraborty