Dec 2022 – Jul 2023 · 7 mos · Mumbai, Maharashtra, India · On-site

• Managing a team of 40 individuals that work on new business, periodic KYC Refresh request and any remediation within Commercial Banking line of Business.
• Acting as an SME and Due Diligence expert to guide clients through the KYC Requirements and variation of documents which may fulfil due diligence requirements
• Perform the required KYC Recertification on customers documenting the information obtained on the clients as required by global KYC procedure.
• Ensure highest standard of quality is adhered within team and at the same time, drive process efficiency with outstanding practices
• Maintain a close interaction with customer/counterparts’ businesses as an SME in the area of KYC and compliance
• to resolve any query/issues faced by the team.

Jan 2022 – Sep 2022 · 8 mos · Chandigarh, India

• Acting as the main point of contact for our client, attending relevant meetings and managing the overall client relationship from a day to day perspective
• Responsible for ensuring KYC Records, Screening, Client outreach and queries completed in line with client expectations and contractual service level agreements.
• SME within KYC team: provide Guidance/analysis on existing policy and escalate KYC issues to compliance for discussion and resolution.
• Dealing with escalations and issues from the team and client and providing solutions/guidance.
• Proactively engaging with key stakeholders to advise on issue resolution, client reporting, capacity and associated risk.
• Assisting in defining procedure, process, standards and best practices to ensure efficiency.

Mar 2017 – Jan 2022 · 4 yrs 10 mos · Gurgaon, Haryana, India

• Collecting and document data, including: alerting activity, account information, transactional data, KYC information, politically exposed person (PEP) status, adverse media as well as counterparty and any other required information to assist in the investigation.
• Performed the required KYC screenings on customers documenting the information obtained on the client’s as required by KYC due diligence case via Lexis-Nexis, Norkom and Google.
• Effectively conducted AML/KYC formality reports on questionable accounts and transactions.
• Reviewing the quality of completed cases which are based on Compliance and Quality Assurance standards.
• Present findings via formalized feedback loop process, track and monitor corrections to identified critical defects.
• Work with Global Partners to ensure consistency with the Global QA framework and governance approach
• Reviewed and approved all low risk/medium risk KYC client profiles to ensure all required KYC documents and information was obtained in accordance with the Customer Identification Program (CIP)

Apr 2014 – Feb 2017 · 2 yrs 10 mos · Bengaluru Area, India

• Assess client’s Know Your Client (KYC) documentation required as per policy and ensuring due diligence reviews are undertaken to the required quality and detail on a timely basis for corporate customers.
• Perform client identification and verification on corporate clients, NBFIs, Financial institution, Funds, Trust, SPVs for USA and middle east cliens.
• Conduct enhanced due diligence on high risk financial intermediaries and obtain sign off from Senior Management within Legal & Compliance and the business.
• Review negative media alerts from client screening tools (such as World check, Instant screening and lexis nexus) and escalate where necessary.
• Completed analysis of transactional information to identify risk, trends and potential wary activity.
• Document findings and ensure this is adequate for quality checks and audits.
• Performed research via internal and external sources, gather and analyze documentation in accordance with regulatory and KYC requirements