Ramesh Ampli
Compliance Manager
Hyderabad
Summary
15+ years of experience in Analytical and performance driven professional with diverse experience in Compliance management with the ability to handle multiple tasks given by the management and contributing to the growth & development of the concern on a whole.
Overview
18
18
years of professional experience
5
5
years of post-secondary education
Work History
Associate Manager Quality Assurance
JP Morgan Chase India
05.2019 - Current
- Independent review on Closed AML Customer Screening & Employee Compliance (Personal Account Dealing)
- Providing oversight and consultation on potential issues that arise in Compliance management
- Ensuring current procedures and regulatory guidelines are complying per Industry standards
- Reviewing Controls in light of business and operational events such as Migrations, build outs
- Evaluating and describing issues, assessing root cause, documenting them, and working closely with business partners
- Managing stakeholders across work streams and regions
- Creating effective and efficient team through regular communication, timely feedback, and appropriate supervisory mentoring
- Team handling and people management
- Goal & Objective setting for employees in line with Company vision
- Conducting Appraisals and providing timely feedback to team members
- Conducting training and personality development session for team members on monthly basis
- Managing stakeholders relations through communication and helpful interactions
- Managed data and correspondence to secure information across complex landscapes of organizational departments
- Trained and supervised employees on office policies and procedures
- Performing RCSA checks on teams within Compliance
Senior Quality Assurance Officer
HSBC-HDPI
04.2013 - 04.2019
- Maintenance of high-Quality standards while performing the Quality Assurance activity
- Ensured timely and professional coaching is provided to operations teams that helps in improving Quality scores
- Performing quality checks of emails reviewed by compliance specialist
- Maintain proper records of data collation requested to aid completion of quality checks / or any other information and submit the same in a timely manner
- Contributed towards improvement of quality in the teams, which are not achieving the minimal expected quality by taking initiatives or contributing towards initiatives
- Applied risk-based approach in completing the checking on alerts providing appropriate rationale for all the errors identified
- Conduct on-site meetings in the form of Call Calibrations, Quality Hours to discuss procedural updates/clarifications, troubleshoot, and resolve any issues/problems impeding smooth workflow or project deadlines
- Allocation of daily work, managing and driving SLA, ensuring timely submission of allocated work
Senior Audit Executive
HSBC-HDPI
01.2007 - 03.2013
- To investigate the Sanctions and Internal Watch list alerts generated on SCDM/OWS and Alert Review System (ARS), identify potential matches and escalate to FCC Level 3 in accordance with the regulatory requirements
- Account Look-up Exercise (ALE) and Investigative Inquiry Process
- Develop, maintain, and foster effective relationships with operational investigators, providing clarifications on regular updates on procedures and resolving any issues/concerns promptly to ensure effective application of new procedures at work place
- Minimize procedural flaws (gaps) and operational flaws (errors) through in-depth evaluation and working collaboratively with operational teams, education team & Process Optimization team
- Part of Pilot team for the Oracle Watch list System (OWS) implementation of Customer Screening Global Standards procedures training in Hyderabad
- Trained and provided floor support to a resource pool of around trainees as a part of the migration
- Part of the Pilot Quality Assurance team to conduct Quality Checks on Level 3 alerts for Canada Name screening Region
Education
PGDBM - HR & MARKETING
NS KOLLA SCHOOL OF BUSINESS
06.2004 - 06.2006
BA - Economics
Vikram Deb College
Jeypore, Odisha 06.2001 - 06.2004
Skills
Risk and Controls
Quality Assurance
Management
Regulatory Compliance
Assurance
People Management
Automation
Operations Management
Accomplishments
- Employee Engagement & Leadership Initiatives, JPMorgan Chase, 05/01/19, Led key programs such as Rewards & Recognition, Women on the Move, Walkathon, Women’s Day, and various festival celebrations at the site level. Successfully organized and executed numerous corporate events, fostering employee engagement and inclusion. Recognized for exceptional event management skills, receiving multiple accolades and appreciations for leadership, coordination, and execution excellence.
- Corporate Social Responsibility (CSR) Initiatives, JPMorgan Chase, 05/01/19, Actively participated in various CSR initiatives, contributing to community development and social impact. Led and organized multiple events, including educational programs, mentorship sessions, and skill-building workshops for underprivileged communities. Volunteered in orphanages, providing guidance, support, and essential resources to children in need. Spearheaded environmental initiatives such as lake-cleaning drives, promoting sustainability and ecological awareness.
Hobbies
Reading, Swimming, Cooking
Timeline
Associate Manager Quality Assurance
JP Morgan Chase India
05.2019 - Current
Senior Quality Assurance Officer
HSBC-HDPI
04.2013 - 04.2019
Senior Audit Executive
HSBC-HDPI
01.2007 - 03.2013
PGDBM - HR & MARKETING
NS KOLLA SCHOOL OF BUSINESS
06.2004 - 06.2006
BA - Economics
Vikram Deb College
06.2001 - 06.2004