Open to opportunities

Arvind Rawal

@arvindrawal

Message

Experienced Compliance Officer specializing in AML, Sanctions, and KYC.

United Arab Emirates

Message

What I'm looking for

I am looking for a role that challenges me and allows for professional growth, ideally in a collaborative environment focused on compliance and risk management.

I am an experienced Compliance Officer with over 15 years in the fields of Anti-Money Laundering (AML), Sanctions, and Know Your Customer (KYC) compliance. My expertise lies in developing robust compliance programs, ensuring adherence to complex regulations, and conducting thorough investigations. I pride myself on my ability to communicate effectively and collaborate across teams, fostering a culture of compliance and ethical behavior within organizations.

Throughout my career, I have successfully implemented various compliance initiatives that have significantly reduced compliance risks and enhanced operational efficiency. My notable achievements include receiving the Star of the Quarter Award and the Incredible Award at Capita India Pvt. Ltd. I am dedicated to maintaining the highest level of integrity and safeguarding the reputation of the organizations I work with, ensuring that compliance is not just a requirement but a core value.

Experience

Work history, roles, and key accomplishments

Current

Compliance Officer

Current

National Bank of Umm al Quwain

Jul 2023 - Present (1 year 11 months)

As a Compliance Officer, responsible for transaction monitoring, reviewing alerts for sanctions and adverse media, and conducting investigations. Developed AML and sanctions policies, performed UAT testing, and represented the bank in compliance forums. Recognized for process improvements and reducing false positive alerts.

AML KYC Sanctions Transaction Monitoring Compliance Policies Risk Assessment Team Management Process Improvement

Compliance Manager

J P Morgan Chase India Pvt Ltd

Mar 2023 - Mar 2023 (0 months)

Managed compliance for Trade and Treasury, focusing on transaction monitoring and client due diligence. Conducted investigations related to US Export Control and ensured adherence to compliance metrics. Streamlined client onboarding and automated internal systems for efficiency.

Transaction Monitoring Due Diligence Compliance Automation Risk Management Team Coordination

Compliance Officer

CITI Bank N.A.

Mar 2018 - Jan 2022 (3 years 10 months)

Oversaw compliance for AML and sanctions, managing alerts and investigations. Reviewed new product launches and ensured compliance with local and international regulations. Conducted risk assessments and provided guidance to business units.

AML Sanctions Risks Risk Assessment Regulatory Compliance Alerting Process Improvement Team Collaboration Documentation

Compliance Officer

Citi Corp Financial Services Ltd.

Mar 2015 - Jul 2017 (2 years 4 months)

Led compliance operations focusing on AML, KYC, and sanctions. Conducted audits to identify gaps and ensured timely escalation of suspicious transactions. Streamlined processes for compliance adherence.

AML KYC Sanctions Auditing Risk Analysis Transaction Monitoring Team Leadership Regulatory Compliance Reporting

Fund Accountant

Capita India Pvt. Ltd.

Nov 2009 - Jul 2012 (2 years 8 months)

Managed monthly reconciliation of mutual fund NAV and ensured accuracy in financial reporting. Identified discrepancies and maintained records for compliance.

NAV Reconciliation Financial Reporting Data Analysis Compliance Financial Analysis Team Collaboration Problem Solving

Education

Degrees, certifications, and relevant coursework

Hinduja College of Commerce

Bachelor of Commerce, Accounting & Finance

2009 -

Grade: 3.5

Completed a Bachelor's degree in Commerce with a focus on Accounting and Finance. Developed a strong foundation in financial principles and practices, which has been instrumental in my career in compliance and financial crime prevention.