Preeti Dua Email & Phone Number

Gurugram, Haryana, India

* Marketing Material Review* Regulatory Reportings* Compliance Audit * Regulatory Compliance

Gurugram, Haryana, India

Transaction Monitoring - Currently Handling the team of 8 FTEs in Suspicious TransactionMonitoring Process for one of the leading Life Insurance Companies in India where the team performs comprehensive AML checks and drafts the ‘Grounds of Suspicion’. Review and safeguard the Organisation from Money Laundering & Terrorist Financing risk and to ensure that the structure/process is effectively managed. The role and responsibility- Involve - Case assignment, MIS Report, Management Call, People management, Daily and weekly report, Subject matter expert Sanctions Screening – Conduct reviews on client screenings, name searches and perform quality assurance tasks. Project Management – Active participation towards ‘Go-Live’ of the new AML System. Handling the post live issues/ bugs across the AML system and dealing with the Vendor/ Management for the issues and it’s resolutions Compliance Monitoring – Conduct AML/ Compliance Monitoring Programme across the Operations’ Functions and circulate the Quarterly report along with the Corrective Action Plans with the Management.

Gurugram, Haryana, India

1- Suspicious Transaction Filing with the FIU - Ind. 2- Handling the Customer Screening process. 3- Responsible for Regulatory Filing submissions with the IRDAI. 4- Implementation of the IRDAI circulars and guidelines. 5- Managing the Vendor Due Diligence process. 6- Review the Personal Trading of Covered Persons in accordance with Personal Trading and Investment Guidelines.7- Active participation in the IRDAI inspections. 8- Review of Marketing Material.9- Compliance Monitoring across the various departments to ensure adherence with Regulatory Directives

Gurugram, Haryana, India

Responsible for Financial, Medical and Revival Underwriting. Fraud Control Management - Data Analysis of forged policies on regular intervals and handled project on Enhanced Due Diligence. UAT of the new products. Drafted and revised Underwriting Questionnaires

Gurugram, Haryana, India

Analysis of the insurance application and determine the acceptability of the complex and intriguing proposals. Overall Underwriting management. Impart training to the new joiners in the Underwriting team. Performing Quality Check of the underwriting conducted by the Underwriters

Bachelor Of Commerce Hons, B. Com (Hons.)

Schooling