Looking for Senior Manager-Regulatory Compliance reviews for Mumbai location. Looking only from Big 4's & IT organisations for Mumbai. Assisting one of the largest bank in strengthening its AML framework - Review of transaction monitoring processes of leading brokerage houses and banks - Reviewed processes pertaining to housing finance company, Gold loan company and assisting them with strengthening internal controls - Conducted a Diagnostic process review for the Offline, Online & Institutional Broking and portfolio management services (PMS) businesses for a leading brokerage house. The review included identifying process design gaps & key compliance related gaps embedded in the processes. - Compliance review of the Equity and Derivatives segment for the largest Institutional broking desk. The scope covered processes around on boarding of customers (account opening), Dealing room operations, staff trading, statutory reporting, brokerage, credit utilization and margins etc. - Team leader for developing SOP for one of the leading wealth management company. The products covered included Fixed income products, Third party products, Real estate, equity research support and others. The SOP also contained the process for granting limits / exposures from group NBFC company for margin and IPO funding - Worked on compliance review of rural loans, housing loans, etc in largest public sector bank in India The project entails a detailed study of all the processes related to credit and mapping of all relevant regulations applicable to them and evaluation of a control framework around those regulatory guidelines - Internal audit of credit card operations of the largest public sector bank in India. The project entailed review of timely and accurately levy of financial charges. The scope also included checking with compliances with RBI guidelines applicable to credit card business. - Internal Audit of Investment department of the largest RNBC in India. The project entailed review of compliance with RBI investment related guidelines for RNBC. - Compliance review of the corporate credit products offered by a leading private sector bank in the country. The project entails a detailed study of all the processes related to corporate credit and mapping of all relevant regulations applicable to them and evaluation of a control framework - Process review for outsourced insurance operations in India of the largest insurance company. Reviewed business processes, controls and recommended solutions to the Client.