Rupali Chavan
Compliance and Risk Analyst
Pune
Summary
Detail-focused KYC & Compliance Operations Professional with experience supporting customer due diligence, documentation review, identity verification, and compliance checks within high-volume financial environments. Strong at following defined operating procedures, solving routine compliance issues, and ensuring completeness and accuracy of customer and case data.
Proven ability to work collaboratively in team-based, structured delivery environments with limited supervision. Experienced in supporting CDD/EDD activities, fraud screening, risk flag identification, and audit readiness. Adept at maintaining high-quality documentation, interpreting guidelines, and escalating exceptions appropriately.
Overview
9
9
years of professional experience
3
3
Languages
Work History
DEPUTY UNIT MANAGER, BUSINESS COMPLIANCE
Bajaj Finance Ltd.
01.2021 - 09.2024
- Performed verification and compliance checks aligned with KYC, policy, and process guidelines, ensuring accurate documentation and customer data completeness.
- Conducted investigations into routine and moderate-risk cases, including identity mismatches, suspicious login behavior, invalid documents, IP discrepancies, and red-flag triggers.
- Supported CDD workflows by reviewing customer profiles, validating supporting documents, and ensuring adherence to internal compliance standards.
- Executed quality checks on case files, identifying errors, escalating exceptions, and ensuring files met audit and policy requirements.
- Worked closely with supervisors and peers to follow instructions for new assignments, maintain delivery accuracy, and resolve process-related questions.
- Assessed process deviations, documented findings, and contributed to corrective actions in line with standard operating procedures (SOPs).
- Participated in team huddles, calibration sessions, and workflow discussions to maintain alignment and consistency across the team.
QUALITY ENGINEER
SEDEMAC Mechatronics Pvt. Limited
04.2015 - 02.2017
- Conducted product testing, identified faults, and prepared reports to improve quality.
- Oversaw the production process from assembly to final product, ensuring compliance.
- Performed performance and layout inspections for product validation.
- Prepared and maintained PPAP and ISO 9001/TS 16949 documentation.
- Conducted internal calibration and audits for quality assurance.
- Developed and updated work instructions to enhance process efficiency.
Education
Bachelor of Engineering - Electronics & Communication
Shivaji University, Dr. J J Magdum College of Engineering
Kolhapur Maharashtra01.2011
Diploma - industrial Electronics
MSBTE Pune, Walchand College
Sangli Maharashtra01.2008
Skills
- KYC (Know Your Customer)
- Customer Identification Program (CIP)
- Documentation & Data Accuracy
- Regulatory Compliance & Risk Control
- Team Collaboration & Task Coordination
- Compliance Verification & Case Review
- Data Validation & Profile Assessment
- Tools: SFDC, Slash RTC, Advanced Excel
Awards
- Heroes, Awarded for exceptional performance, 12/2022
- Prodigy, Recognized for achieving the highest incentives for four consecutive quarters
Timeline
DEPUTY UNIT MANAGER, BUSINESS COMPLIANCE
Bajaj Finance Ltd.
01.2021 - 09.2024
QUALITY ENGINEER
SEDEMAC Mechatronics Pvt. Limited
04.2015 - 02.2017
Bachelor of Engineering - Electronics & Communication
Shivaji University, Dr. J J Magdum College of Engineering
Diploma - industrial Electronics
MSBTE Pune, Walchand College