Amit Sharma

About Amit Sharma

Oversee and Strengthened Compliance, Internal Controls, Risk Management, RBI Audits…

Experience

1. Compliance Manager

   Spice Money

   Jun 2014 — Present · Delhi, IN

   Strengthening Compliance culture and operational risk for country function at BTMU. Ensure implementation of Compliance Program (Policies & Procedures, Training, Compliance Checking/testing). Standardization of Internal Unit Procedure for compliance across all India Branches.• Ensure regulatory Compliance (KYC, AML, FATCA-CRS), sanction screening (OFAC, EU sanctions), AML, terrorist financing surveillance and Transaction Monitoring.• Develop and review the logic of alerts generation for suspicious transaction monitoring and the results from such triggers and updating the triggers based on periodic reviews. Proactively engaging with Operations Department and Business Unit to streamline and improve compliance function and internal control framework. Conduct Branch Compliance Audit and report findings to Head Office as per procedure. Follow up for HO/RBI Audit Requirement recommendations etc. with various departments and ensuring that all audit compliance recommendations are implemented in a timely manner. Convening Committees at branch and regional level (Compliance Committee, Audit Action, and Operational Control Committee Meeting). Responsible for regulatory reporting on fortnightly, monthly, quarterly, half yearly and yearly basis such as CBWTR,CTR,STR, CCR,BEF and EDPMS. Tracking RBI circular, issuance of management sheet for process change and timely closure of same.

Education

• Indian Society of International Law

  Postgraduate Degree, International Business, Trade, and Tax Law

• Dalmiya Vidya Mandir

  matriculate, PCM HINDI AND ENGLISH

  1994 — 1995

• Dalmia College,Rajgangpur

  Senior Secondary, PCM

• Bhartiya Vidya Bhavan-Delhi Kendra

  Postgraduate Degree, Marketing and Sales

• JAMSHEDPUR COOPERATIVE COLLEGE

  PHYSICS HONORS

  1997 — 2001

Skills

•  Development and Implementation of Compliance Policies and Practices.
•  Thorough Knowledge of Banking Process and Regulatory Environment.
•  Coordinate with Regulatory Authorities to Understand Requirements and Develop
•  Ability to Lead a Team and Work Cohesively with Peers and Senior Management.