Leena Prakashchand
San Francisco,CA
Summary
Accomplished compliance and risk management professional with over 7 years of experience leading regulatory initiatives, optimizing processes through automation, and ensuring adherence to global standards. Demonstrated expertise in managing cross-functional teams, implementing strategic compliance frameworks, and driving organizational excellence.
Overview
8
8
years of professional experience
2
2
Certificate
Work History
Manager – Regulatory Compliance
Hong Kong and Shanghai Banking Corporation (HSBC)
11.2019 - 07.2022
- Regulatory Compliance Leadership: Managed cross-functional dependencies, risks, and changes while ensuring adherence to global operational procedures and regulatory requirements (BSA/AML, FinCEN, OFAC)
- Stakeholder Engagement & Communication: Developed and executed communication plans to proactively update stakeholders, including senior leadership, on program status, risks, and issues
- Process Optimization & Policy Development: Led the development, implementation, and enhancement of compliance frameworks, policies, and procedures, aligning them with industry best practices and operational needs
Assistant Manager – Compliance
Hong Kong and Shanghai Banking Corporation (HSBC)
05.2018 - 11.2019
- Compliance Framework Development: Designed and executed first-line and second-line defense frameworks for employment compliance and risk management, ensuring alignment with regulatory changes and industry standards
- Process Optimization & Risk Monitoring: Implemented automation and process improvements across teams to enhance efficiency, while overseeing transaction monitoring to detect and address suspicious activities
- Regulatory Reporting & Documentation: Ensured timely and accurate filings of SARs, CTRs, and other reports, maintaining comprehensive records of BSA/AML activities and monitoring regulatory developments
Customer due Diligence Analyst – CDD/KYC
Hong Kong and Shanghai Banking Corporation (HSBC)
02.2016 - 05.2018
- Customer Due Diligence & Risk Mitigation: Conducted periodic and trigger reviews for onboarding and maintaining KYC profiles for diverse client types, ensuring compliance with HSBC Global Standards and mitigating financial crime risks
- AML & Sanctions Program Execution: Developed and implemented enterprise-wide AML and sanctions programs, aligning with the Bank Secrecy Act, USA PATRIOT Act, and other regulatory requirements, while updating compliance policies and manuals
- Regulatory Reporting & Risk Assessment: Prepared and analyzed AML and sanctions compliance reports, identified risks, recommended corrective actions, and ensured effective monitoring of regulatory changes and internal controls
Bankruptcy associate – Bills Receivable and Payables
Ocwen Financial Solutions
07.2014 - 01.2016
- Portfolio Management & Client Advisory: Advised clients on foreclosure and bankruptcy-related queries, ensuring effective portfolio management and resolution of complex issues
- Team Leadership & Training: Supervised and trained staff on daily operations, monitored performance through KPIs, and fostered team development
- Process Optimization & Escalation Management: Streamlined workflows in collaboration with attorney firms and resolved high-risk escalations involving Freddie Mac and Fannie Mae
Education
Master of Science - Management Information Systems
University of San Francisco
CA12.2023
Bachelor of Commerce - Finance
Jyothi Nivas Autonomous College
India01.2014
Skills
- Regulatory Compliance & Risk Management
- Process Optimization & Automation
- Strategic Leadership & Team Development
- Stakeholder Engagement & Communication
- Regulatory Reporting & Policy Development
Certification
- Digital Transformation with Google Cloud
- Data Quality, Modeling, and Security – Salesforce
Affiliations
- Member, Association of Information Systems
- Member, Toastmasters International
Timeline
Manager – Regulatory Compliance
Hong Kong and Shanghai Banking Corporation (HSBC)
11.2019 - 07.2022
Assistant Manager – Compliance
Hong Kong and Shanghai Banking Corporation (HSBC)
05.2018 - 11.2019
Customer due Diligence Analyst – CDD/KYC
Hong Kong and Shanghai Banking Corporation (HSBC)
02.2016 - 05.2018
Bankruptcy associate – Bills Receivable and Payables
Ocwen Financial Solutions
07.2014 - 01.2016
Master of Science - Management Information Systems
University of San Francisco
Bachelor of Commerce - Finance
Jyothi Nivas Autonomous College
- Digital Transformation with Google Cloud
- Data Quality, Modeling, and Security – Salesforce
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