Natasha Kapoor
Investment Banking Operations
Mumbai
Summary
As a Senior Associate at Morgan Stanley , handled the OFAC Governance, Sanctions & AML Screening process, enhancing compliance processes and mentoring team members. Demonstrated expertise in complex problem-solving and process improvement, significantly improving reporting accuracy and efficiency. Excelled in team leadership and decision-making, ensuring adherence to regulatory standards and fostering professional growth among juniors.
Overview
6
6
years of professional experience
Work History
Senior Associate
Morgan Stanley
05.2018 - Current
- Part of OFAC Governance, Sanctions & AML Screening Team
- Prepared and submitted timely and accurate reports to regulatory bodies, auditors, and senior management outlining the effectiveness and results of the OFAC Governance and AML/Sanctions Screening program.
- Thorough risk assessments on bank clients in order to identify and mitigate potential money laundering, terrorist financing, and reputational risks.
- Daily reviews of financial transactions to ensure compliance with the Office of Foreign Assets Control (OFAC), Global Consolidated List (GCL), and Global Watch List (GWL) SDN List.
- Collaborated with team members to prioritize and expedite time-sensitive transactions, minimizing the risk of missing cut-off deadlines.
- Conducted thorough quality inspections and performed quality checks on products and processes to ensure adherence to industry standards and regulations.
- Facilitated communication and information exchange between GFC (Compliance) and business units to expedite transaction approval processes.
- Ensured compliance with reporting timelines and accuracy by closely monitoring key performance indicators and conducting regular audits.
- Proactively identified best practices and created training materials to educate team members on effective processes, resulting in increased adherence and improved overall performance.
- Conducted regular audits to ensure all documentation and standard operating procedures were up to date, accurate, and aligned with industry best practices.
- Monitor and interpret regulatory updates, guidelines, and laws related to anti-money laundering (AML) and countering the financing of terrorism (CFT) to ensure compliance.
- Led the testing and validation of models used for OFAC Governance activities, ensuring compliance with regulatory requirements and industry best practices.
- Trained and supported new team members, maintaining culture of collaboration.
- Collaborated with cross-functional teams to drive successful completion of complex projects within deadlines.
- Approached each problem with fresh mind and analytical strategies to quickly resolve concerns.
- Mentored junior associates, fostering professional growth and helping them reach their full potential.
Education
MBA - Finance
Alliance University
Bengaluru, India 04.2001 -
BBA - Finance
JD Birla Institute
Kolkata 04.2001 -
Skills
Team Leadership
Team Supervision
Training and mentoring
MS Office
Decision-Making
Work Planning and Prioritization
Attention to Detail
Complex Problem-Solving
Process Improvement
Oral communication
Timeline
Senior Associate
Morgan Stanley
05.2018 - Current
MBA - Finance
Alliance University
04.2001 -
BBA - Finance
JD Birla Institute
04.2001 -
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