Dishi Aurora
Tampa,FL
Summary
Dynamic and detail-oriented Compliance and Risk Management Specialist with extensive experience in financial services. Proven track record in leading and supporting large-scale projects for global financial institutions, specializing in fraud detection, AML/KYC compliance, and regulatory requirements. Skilled at quality control reviews, identifying transactional patterns indicative of financial crimes, and developing comprehensive risk mitigation strategies. Skilled in evaluating financial data, ensuring adherence to compliance standards, and producing detailed reports. Committed to excellence and continuous improvement, with strong problem-solving and analytical abilities.
Overview
6
6
years of professional experience
Work History
Financial Services Risk and Compliance Consultant
KPMG LLP
09.2021 - Current
- Assisted a large, global financial institution with an FX wire remediation lookback project. Responsible for the quality control (QC) review for each alert, to ensure selection of the appropriate disposition and to ensure the analyst identified transactional patterns potentially indicative of financial crimes or other criminal typologies. Supported analysts with ongoing training related to alert review, narrative write-up and analysis, and red flags associated with potential suspicious activity.
- Supported a Top 10 Financial Institution with performing Fraud and AML-related investigations in accordance with the banks established procedures and methodology by analyzing transactional activity, reviewing applicable Know Your Customer (KYC) information, and drafting 600+ Suspicious Activity Reports (SARs) for review, approval, and processing.
- Supported a leading U.S. fintech firm by offering Subject Matter Expert review and analysis of various audit documentation, including Risk and Control Self Assessments, Risk and Control Matrices, self-identified issues and remediation reports while leading the review of testing activities, drafting of testing plans, Root Cause Analysis, and Control Mapping to enhance risk mitigation. Additional responsibilities also encompassed creating Document Request Lists and sampling approaches to facilitate comprehensive testing and issue examination.
- Provided a leading Fortune 500 Financial Institution with regulatory and compliance support within an agile framework for a digital transformation project. Assessed the mapping of laws, rules, and regulations to business requirements and identified gaps in proposed system configurations and control framework. Identified system integrations with downstream impacts and data dependencies as well as completed validation testing to improve efficiencies in the client’s compliance management program.
- Played a crucial role in leading project teams, and provided concise reports and presentations to stakeholders, ensuring alignment and understanding across diverse departments.
- Managed several projects under tight deadlines, demonstrating an organized, detail-oriented approach to work in fast-paced environments while developing and sustaining strong relationships with clients.
- Crafted and submitted detailed proposals to KPMG’s clients outlining project scopes, timelines, deliverables and budgets.
- Led programs to enhance organization culture, promote diversity, equity, inclusion, improve employee recognition and retention, while also developing comprehensive training modules for professional development
- Conducted thorough audits of internal operations, identifying areas for improvement and recommending corrective actions.
- Conducted regular reviews of existing policies and procedures, ensuring continued alignment with evolving industry standards and best practices.
- Collaborated with management to develop effective strategies for addressing identified compliance risks and gaps.
- Advised senior leadership on emerging trends in regulatory enforcement, enabling proactive planning and strategic decisionmaking.
- Reduced the potential for fines and penalties by proactively monitoring changes in regulatory requirements and updating policies accordingly.
- Provided comprehensive support to clients during regulatory examinations, ensuring a smooth and efficient process.
Compliance Analyst - HMDA Specialist
Lenderworks
09.2020 - 09.2021
- Responsible for reading, analyzing, and interpreting loan applications and additional documentation to appropriately code loans for HMDA reporting purposes
- Identified systemic and operational issues with regards to HMDA data integrity
- Monitored and maintained loan information quality and integrity to ensure regulatory compliance
- Communicated observations and recommendations to various levels of business and Compliance management
- Successfully onboarded a trained new Compliance Analysts, providing comprehensive instruction on regulatory requirements, internal policies, enhancing the team’s overall capabilities
- Assisted in running monthly reports as requested to analyze trends
Assistant Processor
Aurora Financial LLC
05.2018 - 02.2020
- Evaluated and analyzed applicants’ financial status, credit, assets, and property evaluations.
- Assisted processors and loan officers in managing a pipeline of 150+ clients.
- Accurately prepared detailed client financial records to meet strict government and state regulations.
- Prepared datasheets used by loan officers and processors to secure large business loans and transactions.
- Assisted with challenging ad-hoc projects to achieve financial goals and customer satisfaction results.
- Achieved excellent communication, writing, analytical, organizational, and problem-solving skills.
Education
Bachelor of Science - Information Systems And Operations Management
George Mason University
Fairfax, VASkills
- AML/KYC Regulations
- Customer Due Diligence (CDD)
- Enhanced Due Diligence (EDD)
- AML/OFAC/FinCEN Regulatory Policies
- Actimize
- Risk Analysis & Management Business Risk Assessment & Analysis
- Compliance, Audit, and Investigation
- Report Writing
- MS Office (Excel, Word, Access, & PowerPoint)
- Analytical and Critical Thinking
- Team Player
MS Office (Excel, word, & Powerpoint)
Analytical and Critical Thinking
Timeline
Financial Services Risk and Compliance Consultant
KPMG LLP
09.2021 - Current
Compliance Analyst - HMDA Specialist
Lenderworks
09.2020 - 09.2021
Assistant Processor
Aurora Financial LLC
05.2018 - 02.2020
Bachelor of Science - Information Systems And Operations Management
George Mason University