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Pradumna Gupta

Pradumna Gupta

Sr Financial Expert operations

Engineering / Architecture

Ghāziābād, Ghaziabad

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About Pradumna Gupta:

Handling of Shareholders request (new Account openings, Transfer , redemption, payment
replacements) and ensure market cut-offs are followed.
• Conduct KYC check in order to validate the Shareholders Account for Risk & Fraud.
• Having a complete understanding of the product and the guidelines associated with it by managing
a complex portfolio as an Sr Associate.
• Ensuring the accuracy and integrity of financial data to prevent any operational losses.
• Adherence to daily operation policy and procedure and internal controls.
• Performing Due diligance of Shareholders and verifying High Value transactions and documenting
them. Also verifying suspicious and fraudulent activities and take accurate decisions.
• Handling & Escalating the suspicious/High value transactions for Supervisors review and it further got
routed for RM's review.
• Responsible to identify Flags /OFAC stops on the accounts.
• Power of Attorney,Trust Account and Deceased Processing.
• Cross Check all the last records /call history for further processing and to find out the Identity of the
Shareholder in order to prevent the Fraud and Place Stop on the Accounts in Tools like Scrip , Workflow
& Document Viewer etc.
• Having experience in counterfeit and illegible documents review

Experience

Handling of Shareholders request (new Account openings, Transfer , redemption, payment
replacements) and ensure market cut-offs are followed.
• Conduct KYC check in order to validate the Shareholders Account for Risk & Fraud.
• Having a complete understanding of the product and the guidelines associated with it by managing
a complex portfolio as an Sr Associate.
• Ensuring the accuracy and integrity of financial data to prevent any operational losses.
• Adherence to daily operation policy and procedure and internal controls.
• Performing Due diligance of Shareholders and verifying High Value transactions and documenting
them. Also verifying suspicious and fraudulent activities and take accurate decisions.
• Handling & Escalating the suspicious/High value transactions for Supervisors review and it further got
routed for RM's review.
• Responsible to identify Flags /OFAC stops on the accounts.
• Power of Attorney,Trust Account and Deceased Processing.
• Cross Check all the last records /call history for further processing and to find out the Identity of the
Shareholder in order to prevent the Fraud and Place Stop on the Accounts in Tools like Scrip , Workflow
& Document Viewer etc.
• Having experience in counterfeit and illegible documents review

Education

Master of Commerce

Bachelor of Commerce

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