Prabhat Jain
Global Enterprise Strategy and Execution Leader | Data and AI Risk Transformation | C-Suite Advisor| Driving Operational Excellence & Business Growth
- Role
- Director, Enterprise Data and Ai Risk Strategy at Webster Bank
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Prabhat Jain
Mr. Jain is a Multilingual Strategic Transformation Leader with more than 15 years of global financial services experience. He understands Asian as well as American business trends, investor Risk behavior and has worked in Digital Transformation, Data Strategy/ Governance, Financial Regulatory and Compliance Anti Bribery, Capital Markets, Risk, Mutual Fund Pricing/Client Operations, International Marketing, Client Relationship, Transfer Agency, Financial Software implementation and Change Management areas. He holds hands on experience of implementing specific regulatory initiatives such as Dodd Frank (including areas such as forms ADV, CPO and CPO PQR), FRTB, Form PF, KYC/AML, and regulatory structure and organizations including the SEC, the FED, FINRA, NFA and CFTC. Mr. Jain has managed projects in Financial Services Digital Transformation, Anti-Money Laundering (AML), Know Your Customer (KYC), Due Diligence Controls, Client Onboarding/Off boarding, Compliance Auditing and Testing under Rule 38a-1 and Rule 206(4)-7, financial analysis, budgeting and control.Specialties: SDLC implementation, SEC regulatory filings, Investment Adviser Compliance Program Independent Analysis, Advisers Act of 1940, Investment Company Act of 1940, Sarbanes-Oxley Compliance, SEC regulations and SEC reporting, Regulatory Marketing reviews, Data Analytics, SQL, Consumer behavioral understanding, selling and after selling services, customer retention, customer relations, financial analysis, risk management, certified lean practices, business growth, change management and business development.
Experience
Director, Enterprise Data and Ai Risk Strategy
Jun 2025 — Present · Charlotte, NC, US
Education
Wilkes University
Master of Business Administration (M.B.A.), Finance and Marketing
2008 — 2010
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