Sparsh Saxena

About Sparsh Saxena

I am a dedicated Compliance & Risk Management Specialist with a strong background in KYC, AML, and financial crime investigations. Armed with an MBA and extensive hands-on experience, I bring a data-driven approach to risk mitigation, client due diligence, and regulatory compliance. Over the years, I have honed my skills in conducting detailed risk assessments, managing compliance alerts, and providing strategic insights that support the decision-making process for senior leadership.At organizations like GLG and KPMG Global Services, I have led complex investigations into client portfolios, synthesized data into actionable risk insights, and ensured the successful alignment of business objectives with compliance requirements. My expertise extends to a wide range of clientele including private operating companies, sole traders, and trusts, ensuring that due diligence is consistently performed to the highest standards. I have collaborated across teams to assess risks related to fraud, politically exposed persons (PEPs), and ownership structures, while also playing a key role in process improvements to minimize errors and enhance team performance.My advanced skills in Excel, data analysis, and reporting (VLOOKUP, Pivot Tables, Macros) allow me to derive meaningful insights from complex datasets, driving compliance and risk management efforts. With a passion for leveraging data to mitigate risks and improve compliance, I am committed to maintaining the highest levels of integrity, performance, and satisfaction in every project I handle.I thrive in fast-paced environments, ensuring that deadlines are met, service levels are exceeded, and client satisfaction is prioritized. My goal is to continuously grow as a strategic partner in the risk and compliance space, contributing to the success of my organization through proactive risk management and regulatory excellence.

Experience

1. Quality Associate

   GLG

   Feb 2024 — Present · Gurugram, IN

   Conducted comprehensive reviews of client and member portfolios, assessing market trends, emerging risks, and regulatory requirements to ensure alignment with business objectives and compliance standards.Performed detailed risk research related to client engagements, covering financial, legal, and operational aspects, and provided actionable insights to senior leadership for informed decision-making.Synthesized complex data into clear and concise risk assessments, supporting strategic risk mitigation efforts across multiple business sectors.Led escalation processes for high-risk cases, preparing summaries and recommendations to support leadership in risk management and decision-making.Maintained organized and detailed case documentation using workflow management tools, ensuring proper records for future audits and compliance reviews.

Education

• Mahatma Jyotiba Phule Rohilkhand University

  Bachelor of Commerce, Accounting and Finance

• GL Bajaj Institute of Technology and Management

  Post Graduate Diploma In Management, Business, Management, Marketing, and Related Support Services