Hi, I’m
Subhojyoti Acharya
Pune
Summary
Seasoned legal and regulatory compliance professional offering 18 years of rich experience in Legal & Regulatory Compliance, Corporate Investigations, Ethics & Policy implementation, Internal Controls, Data Privacy, Risk management and Compliance Governance across diverse industry domains and client portfolios including banking, IT/ITES, FinTech and Consulting.
Overview
17
years of professional experience
1
Certification
Work History
AccenturePune
Senior Corporate Investigation Counsel
10.2023 - Current
Job overview
- Currently Leading, conducting, and overseeing “corporate compliance” investigations arising out of alleged misconduct
- Oversee legally privileged investigations relating to financial fraud, POSH matters and employment law issues
- Participate in workplace and F&NR related investigations as per the investigation plan, strategy and methodologies.
- Collaborate with Regional and Global ethics leads and business leadership on complex cross-border related investigations
- Provide advice to organizational leadership concerning risk and appropriate remedial measures related to misconduct allegations
- Oversee, counsel, guide, train and support attorneys and other investigative personnel assembled to conduct related investigations
- Providing training to Staffs, Vendors, Contractors and Employees on Ethics and Conduct related matters
- Leverage data and insights from investigations to identify and assess potential themes and trends and pattern of the alleged misconduct and gap in corporate governance
- Ensuring that all the investigations are escalated or completed within the stipulated time frame as prescribed by law and policy
NIUMMumbai
Senior Manager - Regulatory Compliance, Governance, Data Privacy, Ethics & Policy
01.2022 - 06.2023
Job overview
- Working as Senior Manager thereby heading Legal, Ethics, Regulatory Compliance audit and Data Privacy in the areas of Corporate Governance, Financial Crime advisory, FCC investigations, anti-corruption and reporting gaps identified to the board.
- Updating policies, procedures by understanding legal and regulatory landscape thereby creating awareness to the employees at large.
- Performing DPIA, providing GDPR related advisory, performing Data breach investigations, catering to subject right request and reporting.
- Establish, implement and monitor data privacy gaps, breaches, validations and propose corrective measures from legal standpoint.
- Collaborating with DPO, Business, Internal Audit Team, Legal and Public policy team in the matters of data privacy and data leak assessments, testing and assurance compliance reviews and resolving issues.
- Establish and implement internal controls that can prevent and detect unethical behavior and practices
- Oversee and supervising overall compliance program and fostering culture of compliance across Colleagues, Vendors and Board
- Ensure effective governance around SOP in line with the regulatory expectations
- Collaborate with Global Legal and Compliance functions to provide strategic direction and develop all elements of the program across people, process, product and technology.
Credit SuissePune
Assistant Vice President - Financial Crime Compliance Audit & Assurance
09.2015 - 10.2021
Job overview
- Worked as AVP and leading Control, Testing and Assurance Audit (CTA) for APAC and EMEA (for Investment Banking, Asset Management and Private Banking clients) in the areas of CDD, EDD, KYC, Fraud Investigations, SARs, AB&C, Pre & Post Transaction Monitoring, AML Risk Review, PEP, Sanctions and Regulatory Order Screening.
- Leading and training a team of Control, Testing and Assurance Officers within Financial Crime Compliance.
- Conducting tests and audits to ensure adherence with various controls, policies and procedures that are currently in place and advising 1st and 2nd line of defence for further enhancements in the control and risk framework inline with regulatory expectations.
- Supporting the Head of Compliance Control Assurance Function and working closely with APAC and EMEA divisional leads
- Ensuring that effective corrective action plans are in place to address financial crime risks and issues identified
- Formulating strategies from legal and regulatory perspective, conducting investigations and audits and driving decision-making in terms of risk areas in collaboration with the senior leadership team.
- Performing monitoring reviews which tests the control effectiveness and testing reviews which tests the overall design for the existing control framework by applying RBA (Risk Based Approach) methodology.
- Reviewing results of reviews to identify trends and opportunities for program improvement.
- Directing hiring/ staffing to maintain diverse workforce, imparting regular training and ensuring effective performance management plan for teams.
- Tracking legal and regulatory updates issued by relevant authorities, in terms of various laws, legislation, directions, guidelines and recommendations.
CITIKuala Lumpur
Assistant Vice President - Regulatory Compliance & Investigations
02.2015 - 09.2015
Job overview
- Headed APAC Suspicious Transaction Monitoring and Investigations Function within AML Operations team;
- Manage and develop a diverse AML team of staff across multiple locations
- Conduct investigations of potentially suspicious and/or high-risk clients and communicate with other Citigroup AML monitoring units
- Advise senior management on filing Suspicious Activity Reports (SARs) and/ or relationship termination or retention
- Prepare case files for review, and conduct and document all research and analysis
- Use subject matter expertise to write clear and concise summaries on the findings of the investigation
- Drive decisions on next course of action to completion – either relationship retention or termination and, when warranted, prepare SARs
- Manage risk by analyzing the root cause of issues and impact to business
Credit SuisseMumbai
ENO - Legal Tax Compliance
10.2011 - 01.2015
Job overview
- Contributed as a Team Lead (Credit Suisse – India); drove legal and regulatory research and solutions especially in the areas of AML, Anti-Fraud, Anti-Corruption, Due Diligence, Tax related Research and Analysis.
- Entrusted with the responsibility of Tax Research Reporting, Legislative Research Reporting, Compliance Research Reporting, Regulatory Research Reporting and Legal Research.
- Provided solutions to stakeholders (RM, Sales, Legal & Compliance, Business Managers and others) from Switzerland, Guernsey, Singapore, Dubai and Hong Kong.
- Worked in CS Trust Head Quarter in Zurich, Switzerland and successfully migrated tax research process in India.
- Drafting and Negotiating Vendor Contracts, Service Level Agreements, Non-Disclosure Agreements, etc.
HSBCBangalore
Senior Associate - Regulatory Compliance
03.2010 - 09.2011
Job overview
- Acted as a Team Lead and managed AML Compliance Checks and Regulatory Due Diligence Services (KYC) for GBM and CMB market.
- Undertaken various remediation projects catering to various geographies (UK, US, PARIS and Dubai).
- Responsible for performing Quality and Four Eye Checks and acted as challenging point of contact before the final approval.
- Evaluate and monitor changes to the KYC risk across all the regions and products.
Clutch Group LLCBangalore
Legal Associate - Legal & Litigation Support
11.2008 - 02.2010
Job overview
- Contributed towards legal drafting, document & contract review, contract management, legal research & writing, litigation support and ediscovery.
- Review, draft and negotiate routine vendor and commercial contracts including confidentiality/non-disclosure agreements, software license agreements and related support service agreements, consulting services agreements, and other agreements routinely used in financial and information technology service sectors.
- Ensure that all agreements are prepared, revised and executed in consultation with the business unit client and other subject matter experts, and in accordance with approved policies.
- Played a key role as a QC’ier (Quality Checker) in analyzing contract requirements, special provisions, terms and conditions to ensure compliance with appropriate laws, regulations, policies and procedures.
Education
Symbiosis- SCDLPune
Post Graduate Diploma Business Administration (PGDBA) from HRM
01.2011
NALSAR PROHyderabad
Post Graduate Diploma in Media Laws (PGDML)
01.2010
Department of Law, University of Calcutta
Bachelor of Law (B.A.L.L.B – Hons.)
01.2008
Skills
- Ethics & Corporate Investigations
- AB&C
- Trade Sanctions
- Anti Money Laundering
- Anti-Trust advisory
- Statutory & Regulatory Compliance
- Employment Law Advisory
- Drafting and Reporting findings and sanctions
- Risk Assessment & Mitigation
- Internal Controls & Audit
- Mentoring
- Training
- Resource Management
- Generative AI
Certification
- Certificate Course in Legal Tech and AI for Lawyers, Udemy, UC8990
- Diploma in Labour Laws and Statutory Compliances, Udemy, UC4826744d
- Certified Ethics and Corporate Governance, Alison CPD Certificate, 2562-29625903
- Certified Global Compliance Specialist (GCS), Risk Pro India, bfrhyjxkvz
- Certificate Course in Data Privacy Fundamentals, Northeastern University School of Law, Boston, U.S.A
- Certificate in Trade Based Anti-Money Laundering and AML Framework, Udemy, UC-55389f2c
- Certified GDPR and Data Protection Compliance, Udemy, UC-215837f9
- Certified Crypto Currency Fin Crime Compliance, Udemy, UC-71130320
- Certificate in Security Awareness (CCSA), U.K., CybSafe, SUB249191007
- General Courses on Intellectual Property Law, WIPO (World Intellectual Property Organization), Geneva, Lifetime
- Certificate Course on Wealth Management, AIWMI (Association of International Wealth Management of India), 2018519
- AML Overview for the U.S.A, The Edcomm Group and Bankers Academy, Lifetime
- CFAP (Certified Forensic Accounting Professional), India Forensic, IFO508
- CAME (Certified Anti-Money Laundering Expert), India Forensic, IFO602
- CLPOP (Certified LPO Professional), Lawwave, Lifetime
- Yellow Belt Lean Six Sigma, Citi, Lifetime
Affiliations
- Aci, Association of Corporate Investigators, London, U.K.
- ICA, International Compliance Association, U.K., CON-000205136
- ACFE, Association of Certified Fraud Examiner, USA, 643259
- Anti-Fraud Professionals in India, India Forensic, India, Lifetime
- Indian Council of Arbitration (ICA), India, IY/ICA/0408
- Member of the Bar Association, India, Lifetime
Languages
English
Hindi
Bengali
Custom Section
Seasoned legal and regulatory compliance professional offering 18 years of rich experience in Legal & Regulatory Compliance, Corporate Investigations, Ethics & Policy implementation, Internal Controls, Data Privacy, Risk management and Compliance Governance across diverse industry domains and client portfolios including banking, IT/ITES, FinTech and Consulting.
Timeline
Senior Corporate Investigation Counsel
Accenture
10.2023 - Current
Senior Manager - Regulatory Compliance, Governance, Data Privacy, Ethics & Policy
NIUM
01.2022 - 06.2023
Assistant Vice President - Financial Crime Compliance Audit & Assurance
Credit Suisse
09.2015 - 10.2021
Assistant Vice President - Regulatory Compliance & Investigations
CITI
02.2015 - 09.2015
ENO - Legal Tax Compliance
Credit Suisse
10.2011 - 01.2015
Senior Associate - Regulatory Compliance
HSBC
03.2010 - 09.2011
Legal Associate - Legal & Litigation Support
Clutch Group LLC
11.2008 - 02.2010
Symbiosis- SCDL
Post Graduate Diploma Business Administration (PGDBA) from HRM
NALSAR PRO
Post Graduate Diploma in Media Laws (PGDML)
Department of Law, University of Calcutta
Bachelor of Law (B.A.L.L.B – Hons.)