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Location:
Coimbatore, Tamil Nadu, India
Posted:
August 29, 2018

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Resume:

Marital status: Married

Date of birth: **th Mar *987

I hereby declare that all the details furnished above are true to the best of my knowledge and belief.

Bangalore, Karnataka

Mob: +919*********

ac6uvb@r.postjobfree.com

Vivin CPR

Professional Summary

Team Leader with 7+ years of experience specializing in Compliance management, Financial Crimes Risk Management, Customer Due diligence, Sanctions Screening, Core banking Operations, Adverse news screening. A Self-driven Professional, creative and flexible with proven analytical skills; Adept at researching and understanding of money laundering and terrorist financing issues, including policies, procedures and regulations

Key Skills

Compliance Management

Building Courses for Team members

Sanctions & PEP Screening

Adverse news screening

AML procedures

Sanctions Screening

Customer Due diligence (CDD)

KYC & KYCC

Experience

Team Leader – AML Sanctions State Street Corporate Services Mumbai Pvt Ltd

Bangalore Jan 2017 – Till date

Team: KYC ORI - Sanctions Screening

Handling a team of 10 Process Analyst which includes Screening and Adverse Screening.

Investigate and analyze Securities, Loans, Brokers, OFA and PEP across all lines of business for possible suspicious activities, money laundering and terrorist financing and report to FINCEN by performing level II analysis on OFAC, FINCEN Screenings.

To adhere the sanctions policies which is in line with OFAC & Sectoral sanctions and to highlight the risk arising from any undesirable parties in the bank accounts.

Researching laws and regulations applicable to the US Lending platform and ensure policy implementations across the company and analyze transactions utilizing internal and external systems and tools (MCH, World check, Google, Bloomberg and LexisNexis).

Act as an independent & second level reviewer and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved

Identify potential areas of compliance vulnerability and risk; control testing and developing/implementing of corrective action plans for resolution of problematic issues.

Ensure appropriate departmental compliance trainings are conducted in a timely manner

Update and review the existing policies and procedures and also frame new policies and procedures based on the requirement

Driving Performance review meetings and rating assessment.

Perform quality check on waived cases on a weekly basis to ensure no gaps in the review process.

Preparing Weekly Volume trend, Productivity report, Monthly dashboard, Minutes of meeting, Access review report, Attendance tracker, FHM candidate proposal & PeopleSoft approvals.

Facilitate OJT training for new joiners and preparing refresher assessment questions.

reports, Attendance tracker, and PeopleSoft approvals

Verifies all aspects of Client Identification Program (CIP) and necessary account opening documents are provided and in accordance with know Your Customer (KYC), USA Patriot Act and Bank Secrecy Act (BSA) standards.

Completes extensive due diligence investigations using public and private databases in accordance with Anti-Money Laundering (AML), BSA and other regulatory standards to assist business units and prevent operational and reputational risks.

Performs checks on potential customers against World Check Risk Screen, FinCEN list, and OFAC Specially Designated Nationals List (SDN) and Blocked Persons list.

Due diligence activities includes screening customers and prospects against the Office of Foreign Asset Control (OFAC), Politically Exposed Persons (PEP), the internal Bank Secrecy Act (BSA) Hot List, and other regionally based sanctions

Conducts enhanced due diligence research in attempts to find derogatory/background information used to aid client advisors' decisions in initiating, maintaining or closing business relationships.

Ensures final reports are comprehensive, compliant and suitable for use in the client on-boarding decision-making processes. Confirmed sanctions and politically exposed persons matches are escalated to the Global Sanction Screen and Reporting Group and Corporate PEP Team respectively.

Also responsible for functioning as workflow coordinator and triage investigator, assigning investigations to the appropriate investigator for processing and preparing investigation by validating data, identifying name variations, and locating missing information.

Defining the scope of investigations, conducting special and international investigations, supporting the daily ongoing negative news monitoring and rapid response investigation process

Make sure that system and Anti Money Laundering (AML) processes meet the requirements of regulatory guidelines

Verifies all aspects of Client Identification Program (CIP) and necessary account opening documents are provided and in accordance with know Your Customer (KYC), USA Patriot Act and Bank Secrecy Act (BSA) standards.

Completes extensive due diligence investigations using public and private databases in accordance with Anti-Money Laundering (AML), BSA and other regulatory standards to assist business units and prevent operational and reputational risks.

Performs checks on potential customers against World Check Risk Screen, FinCEN list, and OFAC Specially Designated Nationals List (SDN) and Blocked Persons list.

Due diligence activities includes screening customers and prospects against the Office of Foreign Asset Control (OFAC), Politically Exposed Persons (PEP), the internal Bank Secrecy Act (BSA) Hot List, and other regionally based sanctions

Conducts enhanced due diligence research in attempts to find derogatory/background information used to aid client advisors' decisions in initiating, maintaining or closing business relationships.

Ensures final reports are comprehensive, compliant and suitable for use in the client on-boarding decision-making processes. Confirmed sanctions and politically exposed persons matches are escalated to the Global Sanction Screen and Reporting Group and Corporate PEP Team respectively.

Also responsible for functioning as workflow coordinator and triage investigator, assigning investigations to the appropriate investigator for processing and preparing investigation by validating data, identifying name variations, and locating missing information.

Defining the scope of investigations, conducting special and international investigations, supporting the daily ongoing negative news monitoring and rapid response investigation process

Make sure that system and Anti Money Laundering (AML) processes meet the requirements of regulatory guidelines

Verifies all aspects of Client Identification Program (CIP) and necessary account opening documents are provided and in accordance with know Your Customer (KYC), USA Patriot Act and Bank Secrecy Act (BSA) standards.

Completes extensive due diligence investigations using public and private databases in accordance with Anti-Money Laundering (AML), BSA and other regulatory standards to assist business units and prevent operational and reputational risks.

Performs checks on potential customers against World Check Risk Screen, FinCEN list, and OFAC Specially Designated Nationals List (SDN) and Blocked Persons list.

Due diligence activities includes screening customers and prospects against the Office of Foreign Asset Control (OFAC), Politically Exposed Persons (PEP), the internal Bank Secrecy Act (BSA) Hot List, and other regionally based sanctions

Conducts enhanced due diligence research in attempts to find derogatory/background information used to aid client advisors' decisions in initiating, maintaining or closing business relationships.

Ensures final reports are comprehensive, compliant and suitable for use in the client on-boarding decision-making processes. Confirmed sanctions and politically exposed persons matches are escalated to the Global Sanction Screen and Reporting Group and Corporate PEP Team respectively.

Also responsible for functioning as workflow coordinator and triage investigator, assigning investigations to the appropriate investigator for processing and preparing investigation by validating data, identifying name variations, and locating missing information.

Defining the scope of investigations, conducting special and international investigations, supporting the daily ongoing negative news monitoring and rapid response investigation process

Make sure that system and Anti Money Laundering (AML) processes meet the requirements of regulatory guidelines

Financial Crime Risk Analyst Standard Chartered, Scope international

Bangalore Sep 2010 – Dec 2016

Team: FCR Customer Surveillance Unit (Part of Financial Crime Risk Operations and Wholesale Banking)

Investigate the cases and alerts in Detica which is generated by the Bank’s anti-money laundering customer risk assessment tools and Compile supporting documentation and data including media and transaction including documenting review findings for Compliance and Business management review.

Perform due diligence activities to ascertain relevant information about the entities in the public domain and Check the nature of business and the capacity of an entity to do a business.

Engaged in two tier (level 2) review of cases performed for the Bank’s client based in America by understanding the country dynamics.

Maintain a current understanding of money laundering and terrorist financing issues, including policies, procedures, regulations, industry best practices, criminal typologies and developing trends.

Liaise with onshore compliance business units to obtain further information about the client when the available info does not suffice the closure.

Managing 1-1 of team members & have a daily huddle to discuss about daily priorities.

Performed PPP in order to ensure 100% quality is meted out and reduction of critical errors.

Participated in testing and other departmental activities, MIS and KRI (Key Risk Indicator) and Monthly Pack reporting to the management and Demonstrated readiness to Audit and manage people in organizing the work to do it in better and smarter ways.

Identifying and reviewing suspicious activities by ensuring all Group Standards of conduct are followed, so as to protect and enhance the reputation of Standard Chartered Bank with the regulators and avoiding significant loss.

The system matches the customer information across 41 countries against the Group approved listed information and the exact matches are triggered as alerts which will be investigated.

To understand, verify, validate and test the customer’s profile, business and account activity; identify relevant adverse information and risk assess the potential for money laundering and / or terrorist financing to support actionable decisions to mitigate risks.

Check for the KYC documents in the country specific source system and gather details about the customer and its associates and ensuring accuracy in investigations of alerts, which are done within the specified Turnaround Time (TAT).

Performed UAT/UVT testing during GNS transition and submitted detailed report to Compliance platforms team about the bugs identified during testing.

Handled MEPA & SEMA regions effectively during the tenure with SCB and got numerous appreciations from stakeholders.

Escalate alerts in a timely manner so as to help the in-country team to file SAR and is not delayed.

Based on the requirement also Conducted Quality Assurance for the Alerts investigated in Customer Screening Unit.

Education

Bachelor of Science in Mathematics (2007)

Dr. CMS College of Science and Commerce, Coimbatore

Key Strengths

Good Written & Verbal Communication Skills

Good Interpretation & Analytical skills

Sound knowledge about Core banking & wholesale banking process

MS Office, Sanctions filtering and AML techniques.

Expertise knowledge on AML tools like Norkom, EIM 6.1, GNS, FircoTrust, Lexis Nexis and Worldhceck

Hands-on knowledge on eBBS, BOWB, CCMS, Hogan, Bloomberg, Cards 400

Ensured to check the Job Description, Leave Plan, External Mail Access and Access review for the team members on regular basis.

Provided OJT (On Job Training) for the new joiners and existing team members.

Ensured to circulate the external links identified to the team for appropriate alert investigation on a regular basis.

Took initiative to improve the articulation of comments while reporting cases.

Conduct discussions with the Managers and the team on the Errors identified and highlight the issues identified.

Conduct process related trainings and spot quiz and tests in periodic manner.

Driven Idea Lab which is an online platform application where employees can submit their own ideas relating to process, people and technology which would be reviewed by the management and implement in the production environment.

Organised CSR activity & Classroom training for team members during the tenure.

Prepared addendums and SOP as per country requirements and sensitizing with FTE’s

omprehensive

Key Initiatives

Was awarded internal ICON awards under categories “Responsive” and “Trustworthy” during 2011 and 2012.

Won the STAR Award for the Overall contribution on Sep Q3 2009.

Was awarded BEST Outgoing Student in Apr 2007 for exemplary work in academies.

Successfully completed Anti Money Laundering and sanctions training from onshore client.

Received appreciations from senior stake holders both at Hub and In-Country level.

Certified with LEAN practitioner & 2nd level of wholesale banking Technical training.

Helped the management actively in setting up the new process successfully.

Been part of pilot batch setup in Bangalore and ensure smooth transition of BAU.

Won 2nd place in Group Singing and 3rd place in SOLO category in Aspire 2015

Team Excellence Award for successfully completing Inactive Securities screening within TAT

Key Achievements

Personal Details

Declaration

Yours truly,

(Vivin CPR)

Place: Bangalore

Date:



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