Manish Gupta
Team Lead - Compliance at Utkarsh Small Finance Bank @Utkarsh Small Finance Bank
Signup · Get unlimited contacts
WORK HISTORY
Team Lead - Compliance at Utkarsh Small Finance Bank @Utkarsh Small Finance Bank
Varanasi, IN
Providing clear & timely advices/clarifications to various departments of the Bank on Regulatory guidelines/policies.• Reviewing internal circulars, processes & products of the Bank from Regulatory perspective as and when released, modified or launched. • Default member/stakeholder of Product and Process Management Committee (PPMC) of the Bank.• Leading the Compliance Testing team to conduct regular Compliance Risk Assessment of the Bank across various Themes, Bank Products and RBS control parameters.
EDUCATION
IRDA
Corporate Agent (Composite- life and general )
National Institute of Securities Markets (NISM)
NISM-Series-VI: Depository Operations Certification Examination in June, 2017
The Institute of Chartered Accountants of India
Chartered Accountant
IIBF
Diploma in Anti money laundering and know your customer guidelines
National Institute of Securities Markets (NISM)
NISM-Series-V-A: Mutual Fund Distributors Certification Examination
ABOUT MANISH GUPTA
Team Lead - Compliance at Utkarsh Small Finance Bank; Formerly Cluster Head Service & …
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.