Bhaskar Roy
Senior Compliance Associate - Moody’s Shared Services| Ex- Moody’s Ratings| Ex- WNS| Ex- Sonali Bank| Compliance| Regulatory Framework| Surveillance| Risk Assessment| Mitigation| Secondary Research
- Role
- Senior Compliance Associate - Mss at Moody's Corporation
- Location
- Gurugram, HR, IN
- LinkedIn followers
- 500 followers
About Bhaskar Roy
As a Quality Assurance and Compliance professional with over 7 years of experience across financial services, ratings, and shared services, I specialize in driving risk-based audits, regulatory compliance reviews, and process improvement across complex global operations. My expertise spans Compliance Monitoring, Risk Management, Regulatory Audits, Data Validation, Quality Review, and Stakeholder Engagement — built through impactful roles at Moody’s Shared Services, Moody’s Ratings, and WNS Global Services.At Moody’s, I successfully executed more than 35 audits and compliance reviews, strengthened data integrity protocols, and authored surveillance procedures that improved overall audit precision and transparency. I’ve also collaborated with cross-functional teams to mitigate risks, optimize QA review workflows through automation platforms like PEGA and QATS, and integrate AI-driven efficiency tools — reducing false positives and enhancing turnaround time.Known for combining analytical depth with practical execution, I bring a balanced perspective to compliance strategy, process governance, and team mentorship. My contributions have been recognized with the COE Bronze Award (Q4 2019) and the “Go-Getter” LOC Excellence Award (WNS, 2018–2019).I’m committed to ethical compliance leadership and continuous learning, having earned multiple certifications:* Lean Six Sigma Yellow & White Belt (AIGPE)* Forensic Accounting & Fraud Investigation (Udemy)* Anti-Money Laundering and KYC Compliance (Udemy)* Credit Analyst Training (Udemy)* Ethics in the Age of Generative AI (LinkedIn)Technical Expertise: Global Relay, MS Teams, Capital IQ, Bloomberg, Factiva, Hoovers, MantaFluent in English, Hindi, and Bengali, I’m passionate about advancing organizational credibility and operational integrity in fast-paced, regulated environments.Let’s connect if you’re looking for collaboration in Compliance, Risk Assessment, or Governance Transformation initiatives within financial or regulatory ecosystems.
Experience
Senior Compliance Associate - Mss
Aug 2024 — Present · Gurugram, IN
As a Senior Compliance Associate, I work in a dedicated team supporting a global Compliance & Regulatory framework.Responsibilities Include:* Perform continuous testing and examinations of ratings processes for compliance with internal policies and procedures.* Develop test procedures related to Surveillance reviews supporting the ratings process.Document workpapers for all reviews performed.* Support Compliance Surveillance reviews while working with Compliance team members who are based in global locations based in NY, Lithuania, Latam, and India offices.* Assist in the preparation of periodic and ad hoc compliance reports outlining the results of Compliance’s Surveillance program.* Develop creative solutions to enhance existing surveillance reviews.
Education
University Of North Bengal
Bachelor of Commerce (B.Com.), Commerce
2010 — 2013
West Bengal University of Technology, Kolkata
Master of Business Administration (M.B.A.), Financial Management and Marketing Management
2013 — 2015
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