Summary
Overview
Work History
Education
Skills
Certification
Accomplishments
Languages
Websites
Timeline
Generic

Shubham Gupta

Bangalore

Summary

Compliance and risk management professional with over 5 years of experience in investment and commercial banking at JPMorgan, Goldman Sachs, and NatWest. Proven track record as a Senior Analyst - Investment Banking at Goldman Sachs, managing client onboarding and regulatory compliance. Career goal: to leverage extensive compliance knowledge and leadership skills to drive excellence in financial services.

Overview

6
6
years of professional experience
1
1
Certification

Work History

Team Lead - Commercial Banking

JPMorgan Chase & Co.
Bangalore
01.2024 - Current
  • Lead a team managing ACH transactions, client onboarding, and AML compliance using Refinitiv World-Check and Bloomberg.
  • Ensure strict adherence to global sanctions policies and internal compliance standards, minimizing regulatory risks.
  • Drive process efficiency and KPI improvements, enhancing accuracy and timeliness of client onboarding.
  • Managed entire sales cycle from initial contact to closing, ensuring a smooth client onboarding process.

Senior Analyst - Investment Banking

Goldman Sachs
Bangalore
06.2022 - 12.2023
  • Oversaw AML/KYC compliance for new and existing clients in line with FATF, OFAC, and local regulations.
  • Conducted risk assessments of high-value clients, escalating red flags and reducing onboarding delays by 15%.
  • Performed sanctions and PEP screening across 200+ client accounts monthly with zero compliance breaches.
  • Designed and delivered training programs, improving regulatory knowledge and performance scores by 20%.
  • Collaborated with cross-functional teams to strengthen compliance frameworks.

Analyst - Client Onboarding & KYC

NatWest Group
Gurugram
10.2019 - 05.2022
  • Executed end-to-end client onboarding and due diligence (KYC/AML) for corporate and investment banking clients.
  • Partnered with sales, compliance, and legal teams to streamline onboarding, improving turnaround time by 10%.
  • Conducted periodic reviews ensuring ongoing compliance with evolving regulatory standards.
  • Trained and mentored new analysts, driving consistency and accuracy in client due diligence.
  • Recognized for process improvements and smooth client onboarding experience.

Education

Post Graduate Diploma - Banking & Finance

Rajasthan University
Jaipur
05-2019

Bachelor of Commerce - Banking & Finance

S.S. Jain Subodh P.G. College
Jaipur
03-2018

Skills

  • AML/KYC
  • Sanctions Screening
  • Risk Assessment
  • Client Due Diligence
  • Client Onboarding
  • Regulatory Compliance
  • Quality Control
  • Bloomberg
  • Refinitiv World-Check
  • MS Office Suite
  • Team Leadership
  • Training & Mentoring

Certification

  • AML, KYC & Compliance, Udemy, 01/01/23
  • Complete Investment Banking Course, Udemy, 01/01/22

Accomplishments

  • Awarded 'Spot Ovation for Excellence' at NatWest for exceptional compliance process improvements.
  • Received Letter of Value from offshore team for ensuring seamless software migration and zero disruption.
  • Received Star of the Year award at J.P. Morgan Chase and Co. for flawless execution, managing inquiries with precision resulting in zero escalations.

Languages

  • English, Fluent
  • German, Basic

Websites

Timeline

Team Lead - Commercial Banking

JPMorgan Chase & Co.
01.2024 - Current

Senior Analyst - Investment Banking

Goldman Sachs
06.2022 - 12.2023

Analyst - Client Onboarding & KYC

NatWest Group
10.2019 - 05.2022

Post Graduate Diploma - Banking & Finance

Rajasthan University

Bachelor of Commerce - Banking & Finance

S.S. Jain Subodh P.G. College

Similar Profiles

CREATE PROFILE
Shubham Gupta