Shivanjan

• Performing & Reviewing of Compliance Audits.
• Implementing thorough Regulatory Compliances for exceptional firm growth.
• Effectively managed Conflict of Interest Checks.
• Performing Internal Risk & Control Activities
• Executing Root Cause Analysis and Remediation for Compliance Audits.
• Performing Transaction Monitoring activities timely to reduce the scope of non-compliances as per the Global Investment Policies.
• Resolving queries and conducting Risk Sessions.
• Conducting sanction screening as per the Global Policies.
• Collaborated to multiple stakeholders to effectively manage compliance monitoring activities.

• Review of Compliance Audits based on US Regulatory Guidelines.
• Continuous Compliance Monitoring of Personnel's Investments and Transactions.
• Preparing weekly, monthly, and quarterly status reports for U.S Counterparts for the Compliance Audits and the Compliance Monitoring Activities.
• Managing a group of processors and train them as per requirements.
• Sanction Screening and Violation Updating of the Internal Risk Audits & Monitoring Tasks.

• Performing Compliance Testing Activities based on the Investment, Bank & Tax Statements.
• Assessing different securities, bank statements and other financial arrangements restriction, preparing reports, identifying violation and conduction sanction screening.
• Detailed understanding of Global Corporate Risk Regulations guided by PCAOB, AICPA, IESBA, SEC.
• Providing services across the different regions like Canada, Middle East, Cyprus, India, South Africa & KSDC Internal Compliance Audits.

• Processing of Invoices and Vouchers.
• Monthly Audit of In-Transit Materials.
• Tools Used: Oracle, Microsoft Excel.

GPA: 8.19

GPA: 7.1

GPA: 82%

GPA: 8.6