CA. Sachindra Kumar Rai (502832)CA. Sachindra Kumar Rai (502832) CA. Sachindra Kumar Rai (502832)CA. Sachindra Kumar Rai (502832)

CA Professional Achiever – CA Professional Achiever – Financial SectorFinancial Sector

CA Professional Achiever – CA Professional Achiever – Financial SectorFinancial Sector

Manager – Bank of Tokyo-Mitsubishi UFJ Ltd.

• Turnover (Sales) of the Company in Turnover (Sales) of the Company in Rupees:Rupees: Rs. 2120 mio Rs. 2120 mio

• Net worth of the Company:Net worth of the Company: Rs. 3134 Rs. 3134 miomio

• Market Capitalization of the Market Capitalization of the Organization: NAOrganization: NA

Bank of Tokyo-Mitsubishi UFJ Ltd. New Delhi Parliament Street

KEY ROLE IN THE ORGANIZATIONKEY ROLE IN THE ORGANIZATION Monitoring compliance of India operation Monitoring compliance of India operation of the bank and inculcating compliance of the bank and inculcating compliance in day to day activities of bank. Playing a in day to day activities of bank. Playing a leading role in compliance functions of leading role in compliance functions of the bank including AML/Sanction the bank including AML/Sanction monitoring, logistically supporting monitoring, logistically supporting implementation of local regulations, implementation of local regulations, imparting trainings, facilitating RBI imparting trainings, facilitating RBI Inspection etc.Inspection etc.

MAJOR ACHIEVEMENTSMAJOR ACHIEVEMENTS

• New Delhi has secured the award by Head Office for New Delhi has secured the award by Head Office for “Best Internal Control” The evaluation by HO consist “Best Internal Control” The evaluation by HO consist of 200 marks out of 100 is for Compliance and 100 of 200 marks out of 100 is for Compliance and 100 for Operations. for Operations. (team member)(team member)

• Establish and excel a strong Compliance Culture in the Establish and excel a strong Compliance Culture in the organization organization (team member)(team member)

• Role Plays- Two role plays organized as better way to Role Plays- Two role plays organized as better way to educate bank staffs. Starting from selection of the actors educate bank staffs. Starting from selection of the actors among the staff members, script writing, training them, among the staff members, script writing, training them, stage setting and direction of the play done my me. (tem stage setting and direction of the play done my me. (tem leader-sole initiative)leader-sole initiative)

MAJOR ACHIEVEMENTSMAJOR ACHIEVEMENTS• Started publishing a magazine “Fraud an Analysis and Started publishing a magazine “Fraud an Analysis and

Preventive Countermeasures” across the all the branches to Preventive Countermeasures” across the all the branches to educate them in preventing Fraud. educate them in preventing Fraud. (tem leader-sole (tem leader-sole initiative)initiative)

• Started a educating series of “Did You Know” to educate the Started a educating series of “Did You Know” to educate the banks staffs on various issues related to banks. banks staffs on various issues related to banks. (tem leader-(tem leader-sole initiative)sole initiative)

• A remarkable improvement in Regulatory Compliance leads to A remarkable improvement in Regulatory Compliance leads to drastically reduction in number of findings by RBI during Annual drastically reduction in number of findings by RBI during Annual Financial Inspection. I have played important role as team Financial Inspection. I have played important role as team member while liaising with Regulators throughout the year and member while liaising with Regulators throughout the year and during Annual Financial Inspection under section 35 of Banking during Annual Financial Inspection under section 35 of Banking Regulation Act 1949. Regulation Act 1949. (team member)(team member)