Shilpi Bose

A detail oriented, organized, multilingual adviser and analyst implementing and monitoring compliance programs, identifying fraud and assessing risks, and  holding a track record of successful advise, investigation and discovery of fraudulent activity, able to consistently spot and uncover behaviour and patterns that indicate mortgage/insurance fraud along with advising  on suitable products. Having 17 years of extensive experience and knowledge to ensure compliance with regulations and minimize risks for the company. Enthusiastic and result driven, keen to build on a growing career with new challenges, well versed in data entry & trend spotting.  Cemap-certified

Regulatory Support Advisor- ICAEW-Milton Keynes- (March 2023- Till date)

Key Responsibilities

• Client engagement supporting members and firms across the full range of ICAEW’s regulatory areas (including audit, investment business and probate).
• Identifying fraud, AML with a particular focus on money laundering checks & clients on boarding.
• Capturing and accurately recording changes and amendments to regulated firms for billing/ licensing/registration purposes including liaising with solicitors, case managers and stakeholders.
• Advising on structure changes, changes in Annual Returns and providing pragmatic solutions to problems.

Achievements-Membership increase by 10% along with improvement in quality check fails. Reduction of end to end process by 22%

Mortgage & Protection Consultant- Connells Group –Milton Keynes – (May 2017- March 2023)

Key responsibilities

• Monitored & participated in compliance programs to ensure compliance with regulations and laws, such as the GDPR & internal company process.
• Facilitate Anti Money Laundering (AML) checks, client onboarding functions, Client due diligence (CDD) through Know your customer ( KYC) processes.
• Reviewed potential fraudulent accounts for the prevention and detection of fraud and verified mortgage account activity.
• Conducted periodic reviews of first line defence controls, identifying fraud, completing SAR reports, analysis of high-risk cases, liaising with group legal. Ensured regulatory compliance in all documenting, reporting, loan application. Call validation, quality assurance and file checks to meet FCA framework treating customers fairly.
• Ensured maintenance of compliance by providing advice, selling & customer service with regards to mortgage & protection including non-standard mortgages, home insurance, conveyancing, and wills
• Proactively pursued Stake holder management, Collaborated and maintained business relations with banks, insurance companies, Solicitors, Surveyors and specialized financial institutions, CRM system to improve data tracking.
• Enhanced productivity by Training and management support to new consultants, Creating KPI Dashboards, conducting meetings, Data analysis.

Cemap 1,2 &3

Bachelor of Commerce

LLB