Syed Mohammad Asif

● Currently managing regulatory communications and responses for the Securities and Exchange Board of India (SEBI), Central Bureau of Investigation (CBI), National

● Investigation Agency (NIA), Serious Fraud Investigation Office (SFIO), and Financial Intelligence Unit – India (FIU-IND), ensuring timely and accurate submissions.

● Prepare and allocate tasks based on workload analysis to optimize team productivity and turnaround time.

● Monitor team performance, conduct periodic evaluations, and implement improvement plans to enhance operational efficiency.

● Develop and implement risk assessment methodologies for Local Legal teams, reducing errors by 15% and strengthening compliance controls.

● Deployed BOT automation for customer information retrieval, improving accuracy and saving 540 man-minutes per cycle.

● Designed and created compliance dashboards and reports for various departments, the Audit Committee (ACB), and regulatory authorities.

● Established a comprehensive reporting framework, generating KPIs, metrics, and dashboards for senior management oversight and decision-making.

● Managed branch escalations and collaborated with Lines of Business (LOBs) to achieve a 98% issue resolution rate.

● Handled Law Enforcement Agency (LEA) notices process, including correspondence with authorities such as EPFO, ESIC, MCA, MHA, and NCB, ensuring compliance with all applicable regulations.

● Prepared reports and assigned tasks to team members based on current workload, optimizing team efficiency.

● Monitored team performance, conducted regular evaluations, and implemented improvement plans as required.

● Developed and implemented risk assessment methodologies to identify and mitigate potential risks associated with Local Legal teams.

● Established key performance indicators (KPIs) and metrics to measure process accuracy, completeness, and turnaround time (TAT).

● Created compliance dashboards and reports for various departments, the Audit Committee (ACB), and regulatory bodies.

● Developed and maintained a comprehensive reporting system, producing metrics and dashboards for team monitoring and senior management.

● Managed branch escalations and collaborated closely with Lines of Business (LOBs) to resolve issues effectively.

• Reviewed new customer accounts and verified identities in compliance with KYC and regulatory requirements.
• Analyzed client data and documentation, performing thorough data quality reviews for KYC accuracy.
• Responded to escalation emails from internal partners and business contacts, ensuring timely resolution.
• Conducted detailed analysis of daily and monthly metrics to track team performance and productivity.
• Completed KYC onboarding for new customers by reviewing and validating all documentation.
• Performed comprehensive KYC record checks, highlighting and escalating discrepancies as needed.
• Identified and escalated risk issues or control gaps, implementing mitigation measures and fostering a proactive risk culture aligned with the organizational risk framework.
• Maintained team efficiency through continuous communication, guidance, and timely feedback.
• Prepared and published weekly MIS reports, managing products across PAN India locations.
• Recruited, trained, and mentored a skilled KYC team, fostering a culture of excellence, accountability, and compliance awareness.
• Monitored team performance, conducted regular evaluations, and implemented improvement plans as required.

• Ensured service quality through Quality Control Audits for HDB Cops.
• Conducted audit functions and prepared various schedules in accordance with audit requirements.
• Verified data and sample records using diverse methodologies to ensure accuracy and compliance.
• Handled Concurrent Audits across multiple processes within the organization.
• Conducted concurrent audits specifically for File Boarding, Original Document Verification, and Repayment Boarding processes.
• Ensured adherence to established processes and implemented improvements to enhance operational efficiency.
• Provided direction and guidance to Process Management teams to maintain compliance and process integrity.
• Supported teams in the analysis of data assets for accuracy, completeness, and regulatory compliance.
• Developed metrics and dashboards for team performance monitoring and reporting to senior management