Highlights:• Experience in working closely with the U.S leadership team to understand their requirement and help them in transitioning the functions smoothly. • Created Advance Excel VBA-based Automated tool for states side business partners which saved business operational cost by $120,000 • Resources optimization by efficiently saving 1.8 resources annually by recommending process productivity bot • Achieved ‘Beyond Expectation’ rating for 3 consecutive years • Honored with 1 Platinum and 5 Gold Awards for process improvement ideas and transition multiple process from on-shore team

Skills:Compliance, Risk Managament, Reportings,, Supervision, FINRA, SEC, Annuities and Insurance, Advance Excel, VBA

Goal:I am a seasoned professional with 8 years of experience in the financial services industry monitoring operational practices that maintain compliance. I wanted to parse the knowledge to my employer and make it mutual benefitted relation.

Certification:• VBA Advance – WNS Global Learning • Pursuing Machine Learning and Python- Advance Course • Advance MS Excel • Security Industry Essential (SIE) - FINRA

Honor:Honored with 1 Platinum and 5 Gold Awards for process improvement ideas and transition multiple process from on-shore team

Team Lead - Risk and Compliance 04/2017 - current
Ameriprise Financials, Gurugram, HARYANA India
Industry: Financial Servies
• I am a seasoned professional with 8 years of experience in the financial services industry monitoring operational practices that maintain compliance. • Experience in working closely with the U.S leadership team to understand their requirement and help them in transitioning the functions smoothly
• Review, implement and monitors operational processes to meet regulatory guidelines and make sure that organization is adhering the policies. • Coordination with inter-departmental teams and coach colleagues to ensure smooth operations to meet financial budgets. • Review and process of insurance paperwork/transfers for RiverSource Insurance company (Ameriprise’s subsidiary) • Developed various automated reporting for U.S business partners and teams. • Assists in reviewing monthly budget, fund for the business unit. • Created monthly/quarterly dashboards and reports for supervisors and help them in forecasting the requirement and utilization. Provide trend analysis to Supervisor on a weekly/monthly basis. • Handling a team of 4 staff members and managing 8 different functions.--
Senior Associate 08/2015 - 4/2017
WNS Global Servies, Gurugram, HARYANA India
Industry: Financial Servies
Provide assistance to operations managers in the U.S, for implementation of financial market research strategies- the research majorly includes variance & fluctuation analysis.
• Worked on financial regulatory guidelines and ensured adherence of all the management accounts with the policies. • Monthly tracking reporting, quality reviews and work allocations for the team members.--
Derivative Analyst 03/2014 - 07/2015
Pace Stock Broking, Ghaziabad, Uttar Pradesh India
Industry: Financial Servies
• Worked on financial market as a trader for different clients and help them in creating their portfolio and generate returns out of it. • Market risk analysis by using available risk indicator in the financial world. • Handled a portfolio of $1million
--

Kurukshetra University 06/2009 - 04/2012
Yamuna Nagar, HARYANA, India
Degree: Bachelor's Degree
Major:Management
Bachelor of Business Administration - Kurukshetra University, India GPA - 3/4

Login to view resume: Kushagar Gujral -