Open to opportunities

KARTHIK KATWAL

@karthikkatwal

Message

Compliance and AML professional experienced in FIU-IND reporting and SEBI regulatory compliance.

India

Message

What I'm looking for

I seek a compliance role where I can apply AML and regulatory reporting skills, contribute to robust controls, work with cross-functional teams, and grow into senior compliance responsibilities.

I am a compliance professional with hands-on experience in AML/PMLA reporting, FIU-IND filings, and SEBI regulatory processes within a fintech/broking environment.

I have managed SEBI SCORES investor grievance handling end-to-end, prepared segregation of client funds reports, and coordinated regulatory responses and audits with exchanges and internal stakeholders.

I have assisted in fraud and impersonation case handling, performed transaction reviews, documented escalations, and ensured timely filing of STR/CTR where applicable.

I hold a BBA+LLB (Hons.) in Corporate Law and am pursuing an MBA at Symbiosis; I maintain certifications in equity derivatives and relevant law and finance courses to strengthen my compliance expertise.

Experience

Work history, roles, and key accomplishments

Current

Compliance Executive

Current

Finvasia (Shoonya)

Jun 2025 - Present (9 months)

Handle FIU-IND reporting under PMLA, manage SEBI SCORES investor grievances end-to-end, and prepare client funds segregation reports to ensure SEBI compliance and prevent misuse of assets.

FIU IND Reporting SEBI SCORES Complaint Handling Fraud & Impersonation Case Handling Regulatory Compliance