Sujit Upadhyay
Finance
Vasai
Summary
Detail-oriented Compliance Officer dedicated to improving policies and procedures in all business areas. Hardworking and driven with quality-focused and proactive approach. Bringing Number years of experience in Industry.
Overview
2
2
years of professional experience
3
3
years of post-secondary education
3
3
Certifications
1
1
Language
Work History
KYC Officer/AML
BNP Paribas
Mumbai
05.2022 - Current
- Adjusted end-to-end KYC process needs to align with workforce capabilities.
- Conducted thorough reviews for high risk clients based on stratified risk level guidelines.
- Reviewed new prospect KYC documents to meet requirements and determine business model risk.
- Supported KYC processes for prospective and existing customers.
- Researched and interpreted corporate documentation to determine business and ownership structure.
- Determined customer risk ratings based on analysis and research findings.
- Identified threats, vulnerabilities and suspicious behavior patterns to recommend mitigation measures.
- Oversaw proper maintenance and dissemination of filing documentation as well as records and reports for review by various departments.
Equity Advisor
Motilal Oswal Internship
Mumbai
06.2020 - 07.2021
- Created business plan and identified target customers by interacting on phone and in person, handling basic inquiries and providing quotes.
- Delivered strategic investment advice for individual and corporate clients.
- Analyzed industry and company trends to develop customized strategies.
- Helped clients determine investment objectives and planned according to goals.
- Maintained strong network of contacts in financial industry.
- Oversaw equity, IPO, commodity and derivatives trades.
- Assessed hourly market conditions to look for hedge and arbitrage opportunities.
Education
BFM Financial Markets - Accounting And Finance
Mumbai University
Malad 06.2019 - 07.2022
Skills
Skycap expert
Certification
Equity derivatives
Accomplishments
- Achieved Result through effectively helping with Task.
- Achieved Result by completing Task with accuracy and efficiency.
Timeline
KYC Officer/AML
BNP Paribas
05.2022 - Current
Capital markets
10-2021
Mutual funds
09-2021
Equity derivatives
05-2021
Equity Advisor
Motilal Oswal Internship
06.2020 - 07.2021
BFM Financial Markets - Accounting And Finance
Mumbai University
06.2019 - 07.2022