Saugandha Basu
Berkeley Heights,USA
Summary
Compliance leader with extensive experience in major global financial institutions, specializing in AML and sanctions initiatives. Proven track record in regulatory audits and risk assessments, resulting in enhanced control frameworks and timely regulatory closure. Committed to team development and employee engagement, promoting an inclusive workplace culture.
Overview
23
23
years of professional experience
1
1
Certification
Work History
Director, AML – Group Compliance, Regulatory & Governance
UBS
New York, NY
05.2023 - Current
- Led strategic regulatory engagement for U.S. Wealth Management Chief AML Officer.
- Delivered high-quality audit and exam responses on complex BSA/AML, OFAC, and sanctions topics.
- Drove implementation of Operational Risk Framework to enhance control effectiveness across business lines.
- Elevated EDD and KYC controls through analytics and cross-functional collaboration.
- Produced senior-level dashboards highlighting risk exposure and remediation outcomes.
- Served as SME for firm-wide AML/Sanctions Risk Assessments and RCSAs.
- Co-led regional People & Culture initiatives to foster respectful, inclusive workplace environments.
- Designed programs enhancing employee well-being, engagement, and diverse talent development.
Director, Financial Crime Prevention – Compliance Assurance & Validations
UBS
New York, NY
12.2019 - 05.2023
- Led enterprise-wide compliance reviews on AML, Sanctions, and Fraud controls.
- Directed a high-performing team, established QA standards and upskilled testing functions.
- Authored formal issue closure packages and oversaw timely remediation.
- Delivered insights from thematic reviews that shaped enterprise policy and risk remediation.
Vice President, Principal Auditor – Anti-Financial Crime, Sanctions & Embargoes
Deutsche Bank
New York, NY
02.2018 - 12.2019
- Led global remediation efforts to close out regulatory consent orders related to BSA/AML, Sanctions, and KYC, ensuring timely delivery of corrective actions and sustainable control enhancements.
- Facilitated regulatory closure by leading closure pack validation and assurance reviews, ensuring alignment with examiner expectations and sustainable remediation outcomes.
- Functioned as SME on EDD and external audit liaison.
- Mentored auditors and supported risk-driven internal reviews.
Vice President, Financial Crime Compliance Assurance & Testing
MUFG Bank
New York, NY
01.2017 - 02.2018
- Conducted FCC reviews across global operations; evaluated control efficacy.
- Created issue remediation plans and assurance reports; aligned assurance activities with enterprise risk.
Associate Director, Operational Risk Manager – Sanctions Advisory & Filter Controls
Standard Chartered Bank
New York, NY
01.2015 - 01.2017
- Managed U.S. OFAC filter configuration and enhancements within Fircosoft/MTS.
- Served as primary liaison with monitors and examiners.
- Trained AML/Fraud teams and enhanced screening practices.
Assistant Vice President, CTAC – Global Sanctions, ABAC, Compliance Testing
HSBC USA
New York, NY
09.2013 - 01.2015
- Designed and executed testing on OFAC, FCPA, and ABAC controls.
- Drafted reports and presented findings to senior management and regulators.
- SME for sanctions screening tools and risk-based rule logic.
Officer, Senior Compliance Specialist – Global Financial Crimes Compliance
Bank of America Merrill Lynch
New York, NY
06.2011 - 09.2013
- Led sanctions screening governance, including filter performance, SLA metrics, and UAT.
- Supported enterprise-level AML/Sanctions investigations and compliance enhancement projects.
Associate, U.S. Operations
State Bank of India
New York, NY
08.2008 - 06.2011
- Ensured OFAC compliance for international wire transactions.
- Conducted AML monitoring aligned with USA PATRIOT Act requirements.
Associate
Emirates Group
New York, NY
09.2006 - 08.2008
- Managed corporate travel tie-ups and ticketing consolidation.
- Spearheaded client outreach campaigns and sales strategies.
Public Relations Executive, Eastern India
Citibank N.A.
Kolkata, India
10.2002 - 06.2006
- Oversaw onboarding and relationship management for high-net-worth clients.
- Supervised an 8-member team across marketing, forecasting, and budgeting.
Education
Bachelor’s - international relations
Gokhale College, University of Calcutta
01-2001
Postgraduate Diploma - Marketing Management
Indian Institute of Travel & Tourism Management
GwaliorSkills
- AML and sanctions compliance
- BSA/OFAC regulations
- Regulatory audits
- Examiner engagement
- FCC assurance
- Risk testing
- KYC and EDD
- SAR review and investigations
- Sanctions filter oversight
- Operational risk management
- RCSA and risk framework implementation
- Risk assessment strategies
- Executive dashboarding
- MIS reporting and data analytics
- Control validation and issue remediation
- Regulatory closure processes
- Strategic leadership and team development
- DE&I program leadership initiatives
- Generative AI for risk governance applications
- Compliance documentation practices
- Prompt engineering for compliance solutions
Certification
- CAMS
- ISCO
- US Law and Methodology -NYU
Technical And Language Skills
MS Office, Fircosoft, Bridger Insight, Actimize, Finacle, Fluent in English, French, Hindi, Bengali
Projects And Achievements
- Attended Fircosoft–Accuity Workshop (NYC, 2015); OFAC Symposium (2014)
- Winner, Indian National Merit Award for Academic Excellence
- Adventure Certification – Directorate of Mountaineering, India
- Public Relations Certification – Frankfinn Institute of Management
Timeline
Director, AML – Group Compliance, Regulatory & Governance
UBS
05.2023 - Current
Director, Financial Crime Prevention – Compliance Assurance & Validations
UBS
12.2019 - 05.2023
Vice President, Principal Auditor – Anti-Financial Crime, Sanctions & Embargoes
Deutsche Bank
02.2018 - 12.2019
Vice President, Financial Crime Compliance Assurance & Testing
MUFG Bank
01.2017 - 02.2018
Associate Director, Operational Risk Manager – Sanctions Advisory & Filter Controls
Standard Chartered Bank
01.2015 - 01.2017
Assistant Vice President, CTAC – Global Sanctions, ABAC, Compliance Testing
HSBC USA
09.2013 - 01.2015
Officer, Senior Compliance Specialist – Global Financial Crimes Compliance
Bank of America Merrill Lynch
06.2011 - 09.2013
Associate, U.S. Operations
State Bank of India
08.2008 - 06.2011
Associate
Emirates Group
09.2006 - 08.2008
Public Relations Executive, Eastern India
Citibank N.A.
10.2002 - 06.2006
Bachelor’s - international relations
Gokhale College, University of Calcutta
Postgraduate Diploma - Marketing Management
Indian Institute of Travel & Tourism Management
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