Shloka Jain

Detail oriented Analyst with 3 years of experience in identifying, assessing and mitigating risks within financial service industry. Proficient in conducting comprehensive due diligence, risk assessments and implementing robust risk management frameworks. Skilled in data analysis, process improvement and regulatory compliance. Demonstrated ability to collaborate effectively with cross-functional teams to enhance overall risk management strategies and compliance.

• Assistant Head of Conduct and Culture intern Natixis CIB, Paris, FR | March 2022 - Sept 2022

Risk Assessments & Risk Mapping: Formulated and conducted comprehensive proactive risk assessments to identify and evaluate potential operational and conduct risks cross diverse business lines and product portfolios.
Strategic Risk Management: Developed and implemented risk management strategies, frameworks, and compliance policies, including comprehensive ethics and compliance programs.

Compliance & Operational Risk Investigations: Conducted rigorous investigations into alleged risks and issues such as market abuse, IT, cybersecurity, whistle- blowing, fraud, conflicts of interest, gifts and entertainment, anti-bribery corruption and misconduct etc.

Corrective Measures Recommendations: Delivered effective remedial proposals to enhance internal controls and auditing compliance measures.
Robust Internal Control Initiatives: Executed strong internal controls, employing adept project management and fostering collaboration.

• Compliance KYC and AML Analyst Accenture, Mumbai, IN | Nov 2017 - May 2020

KYC Due Diligence: Conducted thorough KYC due diligence, including CDD and EDD, ensuring strict adherence to regulatory mandates and internal protocols. Risk Rating: Assessed client’s risk by evaluating the source of funds & wealth, and ownership structures to ensure compliance within regulatory standards.

AML & CFT Expertise: Established robust AML and CFT monitoring systems, effectively preventing financial illicit activities, monitoring PEPs, and proactively ensuring international sanctions & embargoes compliance.
Compliance Leadership: Developed and executed compliance programs, audits, policies, and procedures, including the creation of suspicious reports to ensure alignment with regulatory guidelines.

Advanced Screening: Utilized diverse screening tools like World-check, Fircosoft, LexisNexis, RDC, and Bloomberg to identify adverse news and report potential suspicious activities.

Training & Culture Builder: Collaborated cross-functionally to provide comprehensive compliance training, cultivating a culture of risk awareness and ethical behavior within the organization.

• MSc Investment Banking and Capital Markets

IESEG School of Management, Lille, FR | Sept 2020 - Nov 2022

• Masters in Commerce - Business Management

University of Mumbai, Mumbai, IN | June 2017 - May 2019

• Bachelors in Commerce - Accounting and Finance

University of Mumbai, Mumbai, IN | June 2014 - April 2017