Krishna Gupta Email and Phone Number

Contract Management & Legal Compliance

Data Privacy Compliance

Electronic Communication Surveillance || Global Banking & Markets Compliance || Regulatory & Financial Crime Compliance || Market Abuse & Fraud Detection || Threat Mitigation & Legal Support.-Review, investigate and escalate alerts generated by the Surveillance system. This system is designed to identify breaches of internal policies surrounding Information Boundaries or individual behavior that may signify potential risk to company and / or its clients’, in particular that of Market Abuse risks.-Undertaking daily, weekly and monthly monitoring tests to ensure that the risks within the Surveillance RC monitoring plan are mitigated.-Identify improvements and assist in the on-going development of systems to improve the efficiency of monitoring.-Assist with the User Acceptance Testing (UAT) of newly developed monitoring tests.-Production of accurate and in-depth Management Information (MI).-Foster a close relationship with the various teams, both on and off-shore.-Maintain internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.

Regulatory & Legal Support | Regulatory Compliance Services

Regulatory & Operational Risk

Regulatory & Operational Risk