Risk Management Regulatory Compliance

Leena Prakashchand

Contact: +1-925-***-****

️ Email: *****************@*****.***

LinkedIn: linkedin.com/in/leena-jain-65856b96

PROFESSIONAL SUMMARY

Accomplished compliance and risk management professional with over 7 years of experience in leading regulatory initiatives, optimizing processes through automation, and ensuring adherence to global standards. Proven expertise in managing cross-functional teams, implementing strategic compliance frameworks, and driving organizational excellence.

CORE SKILLS

• Regulatory Compliance & Risk Management

• Process Optimization & Automation

• Strategic Leadership & Team Development

• Stakeholder Engagement & Communication

• Regulatory Reporting & Policy Development

TOOLS & TECHNOLOGIES

• Compliance Systems: Regroom, Helios, FinReg, Regulatory Intelligence, Regulatory Change Management

• Project Management Tools: Asana, Trello, Jira

• CRM Platforms: Salesforce, Microsoft Dynamics

• Data Management: SQL, Compliance Reporting Systems, Reporting Dashboards & Analytics

• Productivity Tools: Microsoft Office Suite (Word, Excel, PowerPoint, Outlook)

PROFESSIONAL EXPERIENCE

Manager – Regulatory Compliance

Hong Kong and Shanghai Banking Corporation (HSBC) Nov 2019 – Jul 2022

• Regulatory Compliance Leadership: Managed cross-functional dependencies, risks, and changes while ensuring adherence to global operational procedures and regulatory requirements (BSA/AML, FinCEN, OFAC).

• Stakeholder Engagement & Communication: Developed and executed communication plans to proactively update stakeholders, including senior leadership, on program status, risks, and issues.

• Process Optimization & Policy Development: Led the development, implementation, and enhancement of compliance frameworks, policies, and procedures, aligning them with industry best practices and operational needs.

Assistant Manager – Compliance.

Hong Kong and Shanghai Banking Corporation (HSBC) – May’18 – Nov’19

• Compliance Framework Development: Designed and executed first-line and second-line defense frameworks for employment compliance and risk management, ensuring alignment with regulatory changes and industry standards.

• Process Optimization & Risk Monitoring: Implemented automation and process improvements across teams to enhance efficiency, while overseeing transaction monitoring to detect and address suspicious activities.

• Regulatory Reporting & Documentation: Ensured timely and accurate filings of SARs, CTRs, and other reports, maintaining comprehensive records of BSA/AML activities and monitoring regulatory developments.

Customer due Diligence Analyst – CDD/KYC

Hong Kong and Shanghai Banking Corporation (HSBC) -- Feb’16 – May’18

• Customer Due Diligence & Risk Mitigation: Conducted periodic and trigger reviews for onboarding and maintaining KYC profiles for diverse client types, ensuring compliance with HSBC Global Standards and mitigating financial crime risks.

• AML & Sanctions Program Execution: Developed and implemented enterprise-wide AML and sanctions programs, aligning with the Bank Secrecy Act, USA PATRIOT Act, and other regulatory requirements, while updating compliance policies and manuals.

• Regulatory Reporting & Risk Assessment: Prepared and analyzed AML and sanctions compliance reports, identified risks, recommended corrective actions, and ensured effective monitoring of regulatory changes and internal controls.

Ocwen Financial Solutions - Bankruptcy associate – Bills Receivable and Payables -- July’14-

Jan’16

• Portfolio Management & Client Advisory: Advised clients on foreclosure and bankruptcy-related queries, ensuring effective portfolio management and resolution of complex issues.

• Team Leadership & Training: Supervised and trained staff on daily operations, monitored performance through KPIs, and fostered team development.

• Process Optimization & Escalation Management: Streamlined workflows in collaboration with attorney firms and resolved high-risk escalations involving Freddie Mac and Fannie Mae.

EDUCATION

• Master of Science in Management Information Systems - University of San Francisco, CA Dec 2023

• Bachelor of Commerce (Finance) - Jyothi Nivas Autonomous College, India 2014

CERTIFICATIONS

• Digital Transformation with Google Cloud

• Data Quality, Modeling, and Security – Salesforce

PROFESSIONAL AFFILIATIONS

• Member, Association of Information Systems

• Member, Toastmasters International

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