Konica Sharma
@konicasharma
Compliance consultant at Ernst & Young, supporting a Rule 38a-1 review that closed with zero significant regulatory findings.
IndiaWhat I'm looking for
At Ernst & Young, I supported a Rule 38a-1 compliance review for a U.S. insurance and investment management entity. I contributed to the successful annual review cycle, which had zero significant regulatory findings.
At Bajaj Allianz Life Insurance Company, I conducted 50+ compliance reviews across branches and identified non-compliance, including fraud and AML violations. I also cross-referenced policy documentation against regulatory filings across 40+ insurance product variants.
I designed and delivered the Compliance Knowledge Series for frontline employees, helping improve policy adherence and reduce field-level compliance violations. I’m seeking a compliance, risk, or audit role within a bank or financial institution.
Experience
Work history, roles, and key accomplishments
Supported end-to-end compliance control testing under Rule 38a-1, assessing design and operating effectiveness of controls across investment management and fund operations. Assisted in evaluating adherence to U.S. federal securities regulations including SEC rules, FINRA requirements, and OFAC sanctions obligations.
Assistant Manager – Compliance Assurance & Operational Risk
Bajaj Allianz Life Insurance Company
Apr 2025 - Jul 2025 (3 months)
Oversaw compliance assurance and operational risk activities across business units, supporting monitoring, testing, and escalation of regulatory risk matters. Ensured alignment of SOPs, policy documents, and regulatory filings with IRDAI requirements and internal audit outcomes.
Senior Executive – Compliance Assurance & Operational Risk
Bajaj Allianz Life Insurance Company
Jan 2023 - Mar 2025 (2 years 2 months)
Conducted 50+ compliance reviews across branches nationwide, identifying non-compliance instances including fraud and AML violations. Reviewed and updated critical SOPs, evaluated BRDs, and contributed to resolution of internal audit findings via the Action Tracking Status process.
Trainee – Legal & Compliance
Bajaj Allianz Life Insurance Company
May 2022 - Dec 2022 (7 months)
Supported branch compliance reviews and regulatory document alignment, gaining foundational exposure to insurance regulatory frameworks, AML obligations, and legal risk management.
Education
Degrees, certifications, and relevant coursework
Savitribai Phule Pune University
LL.B, Law
2020 - 2023
Pursued a Bachelor of Laws (LL.B) degree, focusing on legal studies.
Gautam Buddha University
Bachelor of Arts (Honours), Political Science
2017 - 2020
Pursued a Bachelor of Arts with Honours in Political Science.
Tech stack
Software and tools used professionally
Availability
Location
IndiaAuthorized to work in
Salary expectations
Job categories
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