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Iselin, New Jersey, United States
June 17, 2019

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Anil Mehta - MBA, CAMS


Financial services professional with extensive experience in KYC-AML, risk management and operations in the banking and brokerage industry. Collaborative communicator continually focused on building relationships with internal and external stakeholders while promoting cooperation across business units to drive positive change and enhanced productivity. Highly capable of prioritizing multiple projects through to completion and meeting deadlines in high-pressure situations. Areas of Expertise include:

Client On-Boarding

Transaction Monitoring

Regulatory Compliance


Change Management

Client & Stakeholder Relations

Vendor Negotiations

Ad-hoc Reporting

Cross-Function Collaboration

Risk Management

Fund Investigation

Credit Control

Policy/Procedure Development


KYC/AML Analyst, Tower Legal Solutions November 2017 – March 2019

Client: JP Morgan Chase & Co

New York, NY

Conducted CDD/EDD and Know Your Customer (KYC) research for clients (Financial Institutions, Insurance, Real Estate, Specialty Finance) as part of the business wide Anti-Money Laundering (AML) Compliance remediation process.

Evaluated transactions and customer relationships for money laundering activities and identified red flag issues and escalated within the AML group.

Analysis of accounts and client information according to prescribed internal control policies and procedures.

Worked with AML/KYC Operations, Bankers and OFAC Risk Management to ensure all client KYC records adheres to Global Compliance and regulatory requirements.

Ensured high quality and timely completion of all client-level due diligence requirements at inception and renewal of client relationships.

Coordinated and communicated actions/issues/progress with Relationship Management on current data initiatives, issues and requests and drive issues to closure.

Worked with KYC management team on various process improvements, system enhancements, and new product/service projects.

Consulted with senior team members and drafted SAR narratives detailing the suspicious activity and transactions of client accounts.

KYC/Risk Analyst, GFI GROUP August 2008 – July 2017

New York, NY

Managed all aspects of KYC for On-Boarding, Review, and Audit external clientele to align with firm’s infrastructure and policy and performed the required KYC screenings.

Ensured compliance with all AML laws, regulations, guidelines, written procedures; OFAC, CIP, KYC, PEP, customer/transaction monitoring.

Coordinated and tracked monthly AML key risk and performance metrics including CDD, KYC, Sanctions and Suspicious Activity Monitoring.

Worked with Senior Managers, Lines of Businesses & other departments to ensure ongoing compliance with AML Standards & regulatory requirements.

Assisted Compliance department, regulation authorities as well as external/internal auditors with the drafting of Regulatory reports and responses to inquiries as necessary.

Significantly minimized operational risks by analyzing, developing, and formally documenting key procedures and controls to enhance accountability and transparency.

Performed User Acceptance Testing for KYC Applications and KYC remediation projects.

Broker Trade Support, GFI GROUP February 2006 – July 2008

New York, NY

Established equity trade settlements, rectified trade/cash breaks, and facilitated end-of-day trade allocation file delivery through Prime Broker.

Mitigated settlement escalations occurring between Executing Broker and Prime Broker.

Procured exposure report for unconfirmed T+2 trades and rectified discrepancies.

Reconciled end-of-day brokerage on swap trades and expedited local market trade settlements/reporting.

Serving as the main contact for all audit inquiries, cooperated with internal and external auditors to ensure accurate and timely responses.


Master of Business Administration, Management, Saint Peter’s College, Jersey City, NJ

Bachelor of Science in Business Administration, Finance, NJ City University, Jersey City, NJ

Certified Anti-Money Laundering Specialist (CAMS), Association of Certified Anti-Money Laundering Specialists


MS Office, Goldman360, CME Clearport, International FC Stone, ICE, Fidessa, TRACE, ACT, NetX360, DTC, Euroclear, Fenics, Oracle BI, JIRA, Citrix, Bloomberg, LexisNexis, World Check, Complinet.

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