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Manager Training

Toronto, ON, Canada
November 19, 2018

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Archana Manoj Shukla, M.Com, CAMS

Senior Officer, Compliance (AML)

Cell: +1-416-***-****


Currently Senior Officer Compliance (AML) at ICICI Bank Canada with over 8 years of Canadian AML experience with high profile financial institutions. Shown consistent performance month on month in all parameters related to AML alerts/cases closures within TAT and conducting onsite reviews at the bank branch’s locations on AML compliance. Along with having excellent investigative and analytical skills, some of my highly proven skills include, but not limited to:

Strong knowledge and experience of AML and KYC Analysis/Auditing retail bank branches on AML compliance.

Providing training to branch employees on AML / ATF issues

Facilitated testing and implementation of compliance-related automated systems

More than 8 years of Canadian experience in investigating cases and alerts under Transaction Monitoring and High Risk Space.

Learn new skills actively to avoid over-reliance on co-workers and team members.

Display a thirst for knowledge, becoming an expert on any subject and able to convey that knowledge clearly to others.

Analytical thinking and problem solving skills for evaluating multiple options.

Able to gather, organize and interpret data to formulate conclusions.

Allocate time efficiently; handle multiple demands and complete priorities.

Excellent follow-through skills, able to work with minimal supervision.

Skilful at relationship building with clients and across organizations. Able to work very well individually and in a group setting.

Proficiency in the use of tools such as AMLOCK, Patriot Officer, Bridger etc.


ICICI Bank July 2015 – Present

Senior Officer, Compliance (AML)

ICICI Bank Canada is a wholly owned subsidiary of ICICI Bank Limited; it is a full-service direct bank in Canada.

Conduct Enhanced Due Diligence of high risk clients and prepare periodic review reports for senior manager. Also provide recommendations for focused training, for account closure decision, to upgrade or downgrade risk level or to submit STR / SATR.

Identify major AML/ATF risk trends and provide recommendation(s) on areas of improvement to close gaps to the Manager, AML; and communicates and works with business units to resolve identified gaps.

Support team members, specifically in the area of Anti-Money Laundering;

Work with various business teams to understand their risk assessment, policies and procedures and training programs;

Identify any deficiencies/gaps in the documentation and provide recommendations to correct these deficiencies

Obtain client account and transaction data, analyze, test and summarize this information into reports which are understandable by regulators, internal and external auditors

Assist in preparing risk assessments, policies and procedures and training documentation to assist manager and senior manager

Conduct onsite reviews at the branch’s locations

Review the backgrounds of subjects for due diligence and client acceptance programs

Prepare case analysis of suspicious transaction reports submitted by branches and discuss suspicious transaction with manager Compliance on regular bases for further course of action

and provide recommendations regarding reporting to FINTRAC

Provide support and guidance to various departments of the bank by solving queries and issues raised. Ensure that compliance concerns are being appropriately evaluated, investigated and resolved.

State Bank of India (Canada) August 2010 – Jun 2015

Junior Compliance Analyst – AML/ATF Risk Management & KYC Compliance.

State Bank of India (Canada) is a Scheduled 2 bank, active in retail and commercial deposit taking and lending. It is a wholly owned subsidiary of State Bank of India, the largest bank in India.

Suspicious Transactions Review and Reporting

Reviewed unusual / suspicious transaction / suspicious attempted transaction reports submitted by Branches and advised the branches for the next course of action

Reviewed daily transactions for suspicious transaction indicators and escalated the findings to the Manager (Compliance) and CAMLO.

Prepared case analysis of suspicious transaction reports submitted by Branches and provided recommendations regarding reporting to FINTRAC

Client Risk Assessments / Due Diligence

Conducted Client Risk Assessments and Inherent risk assessment

Conducted Enhanced Due Diligence of high risk clients

Conducted weekly name scan by scrubbing the customer database against various watch lists

Fulfillment of all day to day activities relating to timely and accurate processing of all high risk wire/payments/messages stop in the SANCTIONS Queues.

Mitigates Operational/Transactional risk through proactive measures i.e. being aware of various cut-off times, accurate processing and verification of payments

Provide highly effective day-to-day support on all electronic and manual processes in Payments Processing

Carry out responsibilities in accordance with established department benchmarks per functions, while adhering to all relevant procedures and guidelines including SWIFT, LVTS, CPA and Sanctions etc.

Provide training support for Sanctions positions in Payments Processing as well as cross-training,

external job shadows, and product knowledge sessions

FINTRAC / OSFI reporting

Timely and accurate submission of the Electronic Fund Transfer Reports, Large Cash Transaction Reports & Suspicious Transaction Reports to FINTRAC

Timely and accurate submission of OSFI 525 and OSFI 590 reports

Compliance Reviews /Testing / Training

Conducted risk based compliance reviews of branches

Facilitated testing and implementation of compliance-related automated systems

Tested the integrity of the monitoring system and reporting process for STRs, LCTR and other regulatory reporting

Providing training to branch employees on AML / ATF issues

Providing support to review of regulations, provide impact analysis and assist to ensure policies and procedures are up to date accordingly

Support other AML processes, such as Regulatory Compliance Management, Control Self-Assessment and oversight testing providing subject expertise

Education and Professional Designations

M.Com. – Master of Commerce, (S P University)

M. Lib. & Inf. Science – Master of Library & Information Science) (S P University)

Certified AML Specialist

Awards and Honors

Awarded gold medal for achieving first rank and First Class with Distinction and for getting first position in Bachelor of Library & Information Science (India)

References: Available upon request

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