Sahitya K Upendra
Bengaluru
Summary
Experienced compliance analyst with over 2 years of expertise in monitoring and analyzing regulatory compliance requirements. Skilled in conducting risk assessments, developing comprehensive compliance policies and procedures, and performing internal audits. Dedicated to ensuring adherence to industry regulations and optimizing organizational compliance strategies.
Overview
2
2
years of professional experience
Work History
Compliance Analyst
Empower Retirement
11.2022 - Current
- Preparing reports by collecting, analyzing, and summarizing information
- Prepared and reviewed client deliverables, including contribution allocations and compliance testing
- Demonstrated strong teamwork skills such as compromise and cooperation by training associates with specific job functions
- Successfully maintained compliance regulations records, reducing document retrieval time by 30%
- Performed internal audits of financial records to ensure accuracy and compliance with established regulations
- Maintaining necessary systems related to the assigned block of business, including Compliance Access Database and Excel tracking spreadsheets
- Conducted thorough Anti Money Laundering investigations and reducing financial risks.
- Played key role in successful audit defense, preparing detailed documentation and evidence of compliance.
- Reduced false positives in transaction monitoring alerts through continuous refinement of system parameters based on historical patterns and trends.
- Streamlined internal audit processes for improved efficiency and accuracy in detecting potential compliance issues.
Education
Bachelor of Commerce -
Maharani Lakshmi Ammanni College For Women
Bengaluru2022
Pre-University -
Maharani Lakshmi Ammanni College For Women
Bengaluru2019
Skills
- Adobe acrobat
- Documentation review
- Compliance monitoring
- Internal auditing
- Teamwork and collaboration
- Privacy and confidentiality
- Problem-solving
- Multitasking
- Excellent communication
- Attention to detail
- Decision-making
- Active listening
- Critical thinking
Languages
English
Bilingual or Proficient (C2)
Kannada
Bilingual or Proficient (C2)
Hindi
Advanced (C1)
Timeline
Compliance Analyst
Empower Retirement
11.2022 - Current
Bachelor of Commerce -
Maharani Lakshmi Ammanni College For Women
Pre-University -
Maharani Lakshmi Ammanni College For Women
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