Avin Raj R Email & Phone Number

London, On, Ca

London, Ontario, Canada

Reporting to the Chief Risk Officer (CRO), I am responsible for managing and running the Risk and Compliance team encompassing areas like Regulatory Reporting and Legislative implementation, Fraud Risk Management, Supplier and 3rd Party Risk management among others. I am also the designated Chief Anti Money Laundering Officer (CAMLO) for the organization.

London, Ontario, Canada

As a Manager - Risk and Compliance for Individual Customer line of Business in Canada Life, my key role is to support the Senior Business Compliance Officer (SBCO) in providing regulatory oversight, guidance, and challenge to the 1st Line Business management team. I am also responsible to carry out Risk obligations like providing oversight to Risk Event tracking, reporting & monitoring, oversight of Risk and Control Assessments (RCA), Risk Policy Assurance etc.

Bengaluru, Karnataka, India

As the site Regulatory Compliance Lead for Bangalore, was responsible;a) To implement the vision and mission of the Compliance Department in coherence with the values of the organizationb) To manage the end to end Regulatory Affairs of the site like Regulatory Visits/Audits, Licensing, Investigations, Breach assessment and reporting etc.c) To provide subject matter expertise and Compliance advisory services to senior management and stakeholders as the single point of contact for… Show more As the site Regulatory Compliance Lead for Bangalore, was responsible;a) To implement the vision and mission of the Compliance Department in coherence with the values of the organizationb) To manage the end to end Regulatory Affairs of the site like Regulatory Visits/Audits, Licensing, Investigations, Breach assessment and reporting etc.c) To provide subject matter expertise and Compliance advisory services to senior management and stakeholders as the single point of contact for Bangalored) To challenge and support the management during Risk Assessment and control gap identification based on the Enterprise wide risk assessment framework (EWRA)e) To manage the day to day performance aspects of a team of 7 Compliance officers reporting into mef) To constantly keep abreast of key regulatory changes and to undertake regular in-depth research on potential implications of changes to regulations within the global arenag) To lead and manage multiple varieties of Compliance training programs to improve awareness and knowledge of Compliance related polices and proceduresh) To undertake complicated and extremely sensitive investigations including Whistle-blowing investigations from a Regulatory Compliance standpointi) To build connection and rapport with various stakeholders including Operations Management, Country Compliance teams, local and global Compliance teams etc. Show less

Chennai, Tamil Nadu, India

a) Providing oversight to the BNP Paribas India Solutions Pvt. Ltd. (BNPP ISPL) site in Chennai from a Compliance perspectiveb) Managing the compliance related requirements for entire Chennai site single handedlyc) Providing Compliance Advisory services to the various IT related offshore processes in BNPd) Handling disciplinary and other code of conduct breach investigationse) Providing Personal Dealing Approvals to sensitive employeesf) Cultivating a Compliance Culture… Show more a) Providing oversight to the BNP Paribas India Solutions Pvt. Ltd. (BNPP ISPL) site in Chennai from a Compliance perspectiveb) Managing the compliance related requirements for entire Chennai site single handedlyc) Providing Compliance Advisory services to the various IT related offshore processes in BNPd) Handling disciplinary and other code of conduct breach investigationse) Providing Personal Dealing Approvals to sensitive employeesf) Cultivating a Compliance Culture among the staff and conducting compliance related trainingg) Managing regulatory inspections and visitsh) Providing support to the management in conducting risk assessments and conducting regular 2nd line checks to ensure that the management was compliant with the required rules and regulations Show less

Bangalore

a) Instrumental in setting up the Monitoring and Testing (M&T) function in GSC Bangaloreb) Lead and manage multiple thematic and targeted reviews/audits to ensure that sufficient supervisory oversight was maintained over the 1st line of defense managementc) Reviewed and challenged the Financial Crime Compliance processes within Bangalore including Know Your Customer (KYC), Customer Due Diligence (CDD), Transaction Monitoring, Screening etc. to ensure that each step was undertaken in… Show more a) Instrumental in setting up the Monitoring and Testing (M&T) function in GSC Bangaloreb) Lead and manage multiple thematic and targeted reviews/audits to ensure that sufficient supervisory oversight was maintained over the 1st line of defense managementc) Reviewed and challenged the Financial Crime Compliance processes within Bangalore including Know Your Customer (KYC), Customer Due Diligence (CDD), Transaction Monitoring, Screening etc. to ensure that each step was undertaken in Compliance with the required laws and regulationsd) Formalized common standard checklists and procedures for thematic reviews and for sampling methodology which was utilized by staff within the M&T team to undertake Compliance reviews in a seamless and effective mannere) Trained staff regularly on developments within AML and Anti-Terrorist Financing regulations including potential impact of new and upcoming sanctions Show less

Bengaluru Area, India

a) Joined as a Customer Service Executive in the Consumer Mortgage and Lending (CML) Payment Services Team from 20th August 2007 to 19th April 2010 providing customer service support to all HSBC customers in United States. b) Promoted to Assistant Manager Operations in April 2010 to manage a team of 17 people and 3 separate teams namely Payment Services, Escrow & Insurance and the EZ Pay Payment Services teamb) Moved to Financial Crime Compliance and Regulatory Compliance Management in… Show more a) Joined as a Customer Service Executive in the Consumer Mortgage and Lending (CML) Payment Services Team from 20th August 2007 to 19th April 2010 providing customer service support to all HSBC customers in United States. b) Promoted to Assistant Manager Operations in April 2010 to manage a team of 17 people and 3 separate teams namely Payment Services, Escrow & Insurance and the EZ Pay Payment Services teamb) Moved to Financial Crime Compliance and Regulatory Compliance Management in October 2012 as an Assistant Manager Show less

Master’S Degree, International Business, Trade, And Tax Law

Master of Business Law from National Law School of India University (NLSIU)

Master Of Business Administration (M.B.A.), Marketing & Strategic Project Management

Master of Business Administration from Institute of Chartered Financial Analysts of India (ICFAI) with specialization in Marketing.

Bachelor Of Business Administration - Bba, Business Administration And Management, General

Bachelors of Business Administration (BBA) from Annamalai University