Mahima Sahney

I have worked as  a compliance manager and was mainly involved in employee compliance projects related to review of electronic communication and monitoring, code of ethics monitoring, operational due diligence, and marketing material reviews.

Worked on
due diligence, code of ethics, e
comm
surveillance review and project management
Support client in range of ODD project management, BIG
reviews, ongoing monitoring and surveillance, hedge funds
reach outs,
coordinate with the primary and secondary
reviewers, along with BIG and Investment management team
Review and preparation of due diligence questionnaire,
manager’s meeting notes documentation on Dynamo,
maintain and enter the process work flow on Confluence notes
Work closely with team to provide daily guidance of tasks,
training to new joiners, and take care of the onboarding
process
Review of electronic communication monitoring for corporate
and field employees; Lead an
8- member
team and act as a
SME; coach and guide them to identify flags and escalate
them for review by business;
Worked on Lexicon improvement program, identifying and
reducing false positives, meaningful sampling, suggest method
for monitoring different types of communication channels
Monitoring/ coordinating activities as appropriate & preparing
reports for stakeholders

KYC projects for a client include PEP check, adverse media
check
Expense Compliance project; helped the stakeholders to build
their internal policies and check for anomalies in filing the
expenses; Supported Voice Surveillance and Pitch book
reviews
Contributed to Distribution Compliance review for leading fund
managers
Worked with training team for developing training modules for
compliance
Published Compliance blogs and supported juniors with
research and vetting the blogs
Ameriprise Financial India Private
Limited
-
09/2010
-
02/2018
Compliance Team Lead
-
Gurgaon, India
Achievements/Tasks
Led a team of five members for Electronic Communication
Review management
Led projects for social media, lexicons research & ad
-
hoc
confidential research
Led a transition project of employees from LOTUS note to
Outlook and e
-
comm review revamping project
Worked on redaction, arbitration ranking and e
-
discovery
projects to support para
-
legals
Have been part of Lean In Circle Ameriprise; also served as a
member of engagement committee of the department
SKILLS
Project Management

Masters in Commerce
Bundelkhand University, Jhansi, India
05/2013
-
05
/2015
-
%
59
Bachelors of Business Administration
Institute of Management Studies, University of Bundelkhand
05/2007
-
05
/2020
-
73%