India
• Service & Operations Professional offering nearly 24 years of experience in managing end-to-end KYC & AML operational functions, process improvement projects while performing enhanced due diligence for bank’s corporate clients • Successfully managed client & stakeholder expectations through end-to-end project/ delivery management on multiple advisory solutions, independent presentations to Audit Committee and senior management • Delivered excellence across applying group and FCC policies and processes (AML surveillance, client screening, risk assessment) to manage risks • International exposure of monitoring transactions for multiple countries, major countries being US (Retail & Correspondence Banking), UK, HK and Singapore • Supervised team development functions such as cross-training, arranging fun activities on the floor, keeping record of customer engagement team and allocating volume to the team while tracking productivity of each member • Rich experience in anchoring client visits, client presentations, proposing solutions in the compliance space along with evangelizations on practice capabilities and credentials • An excellent communicator with skills in analysing risk areas and providing prompt resolutions to overcome complex problems
• Spearheading a team of over 90 people and supervising their compliance portfolio within risk consulting practice • Managing delivery of AML projects i.e., KYC, Sanctions Screening and Transaction Monitoring • Examining significant financial crime risk events to ensure that all connected parties, particularly cross-border are identified and reported at the appropriate levels internally across all relevant jurisdictions • Conducting screening for new customers, existing customers, vendors & its employees • Directing effective KYC/AML due diligence procedures including screening for new (client on-boarding) and existing counterparties and ensuring that internal & external KYC /AML requirements are effectively met at all times • Communicating senior management regarding serious regulatory breaches, or where risk tolerances have been breached and taking actions quickly • Delivering functional consulting and package implementation services across the compliance value chain - AML, KYC, Fraud Management and Trading Surveillance
• Established a team of compliance experts for the transition of International Cash Letter monitoring product for US region • Developed & guided Resiliency team in Jaipur location for the International Cash Letter monitoring process • Understood client concerns and acted as an operations expert by providing insightful solutions for queries; played a key role by timely managing escalations • Ensured adherence and compliance to company policies & procedures, including regulatory requirements
• Build relationships with leadership team to understand training requirements of AML Compliance units and partner with them to meet training needs • Helped design and develop ready to use training modules for key products across the AML Department through coordination with process specialists and business unit heads • Defined and executed training plan for the new joinees and refresher training for existing staff • Assisted in developing operations skill matrix and career roadmap, where it could be used by wider audience in the group as well apart from GSSCs • Coordinated with the other business units like Organisational Learnings, GTO Academy and external agencies for the training requirements of the department
• Steered performance delivery of a team that managed AML surveillance for India region which included activities such as Transaction Monitoring for India region including credit cards, CTR reporting, aiding MLRO office in filing STR reports • Formulated plans and drafted reports for being delivered to Compliance Head with the objective of delivering quality services and achieving continuous improvement in productivity by bringing in process improvements