Nithya R
Senior Compliance Analyst
Pune, Maharashtra
Summary
Senior Compliance Analyst with 7+ years of experience in AML/KYC Operations, Regulatory Compliance, Issue Management, and Complaints handling within U.S. financial services. Strong expertise in Second Line of Defense (SLOD), Compliance Testing, TCPA monitoring, and Risk Assessment. Proven ability to collaborate across business units and drive regulatory adherence.
Overview
8
8
years of professional experience
2
2
Languages
Work History
Senior Compliance Analyst
ADF Data Science Pvt Ltd
12.2021 - Current
- Performed Second Line of Defense (SLOD) reviews to assess compliance with the U.S. Regulations.
- Led compliance testing across CIP, OFAC, EFTA, TCPA, FDCPA, and SCRA frameworks.
- Managed issue lifecycle, including identification, tracking, and remediation.
- Conducted complaints testing and ensured regulatory adherence in complaint handling.
- Performed contact center call monitoring to ensure TCPA compliance.
- Collaborated with internal teams for issue resolution and control improvements.
- Utilized Jira, Salesforce, and AppDesk for workflow and issue management.
- Supported vendor management and third-party oversight activities.
- Reviewed 10-K and 10-Q filings to assess vendor financial stability and risk exposure.
- Analyzed SOC 1/SOC 2 reports to evaluate internal controls and compliance effectiveness.
- Conducted third-party risk assessments for vendors across multiple domains.
- Identified financial, operational, and compliance risks, and escalated key findings.
- Collaborated with internal teams (legal, compliance, procurement) for vendor onboarding and reviews
Device Associate
Amazon Development Center
11.2019 - 11.2021
- Supported AI/ML projects through accurate image and video data annotation using Amazon SageMaker and OpenCV.
- Worked on Rekognition model development for object and text identification.
- Ensured 100% labeling accuracy, enhancing machine learning model performance.
- Delivered consistent quality outcomes in a fast-paced production environment.
KYC & AML Analyst
Tata Consultancy Services
11.2017 - 08.2019
- Conducted sanctions and PEP screening using LexisNexis and Bloomberg.
- Investigated suspicious transaction alerts and documented findings.
- Managed risk-based monitoring and prepared compliance escalation reports.
- Ensured 100% completion of KYC documentation through client outreach.
Education
Bachelor of Science - Information System Management
Guru Shree Shanti Vijay Jain College
Chennai, Tamil Nadu 04.2001 -
High School Diploma -
Velammal MHSS
Chennai, Tamil Nadu 04.2001 -
Skills
Customer Due Diligence
Know Your Customer (KYC)
Financial Crime Prevention
Regulatory Compliance
Vendor Management
Fraud Detection
OFAC Compliance
Risk Assessment
Complaints Case Creation
Suspicious Activity Reporting (SAR)
Root Cause Analysis
Anti Money Laundering (AML)
Calls Monitoring
Issue Management
Financial Statement Analysis (10-K, 10-Q)
SOC 1 / SOC 2 Report Review
Tools
- Saleforce Classic/Lightening
- Appdesk
- Jira
- MS Office (Excel, Word, PowerPoint, Outlook)
- Amazon Sagemaker
- LexisNexis
- Bloomberg
- Sanctions Screening OFAC
- IPACS
Timeline
Senior Compliance Analyst
ADF Data Science Pvt Ltd
12.2021 - Current
Device Associate
Amazon Development Center
11.2019 - 11.2021
KYC & AML Analyst
Tata Consultancy Services
11.2017 - 08.2019
Bachelor of Science - Information System Management
Guru Shree Shanti Vijay Jain College
04.2001 -
High School Diploma -
Velammal MHSS
04.2001 -