SHOBHA SRIVASTAVA

GLOBAL BANKING MARKET APAC & EMEA

Senior Analyst Team leader Corporate Banking

An Innovative Industry leader with 5 years comprehensive expertise in Corporate KYC /AML and Transaction monitoring Analyst,Regulatory compliance, Data Governance having Excellent Customer relationship for APAC & EMEA region, with strong leadership skills, ability to deliver outstanding innovative business solutions that support business revolution. Ability to focus on results, production quality accuracy with complete ownership, with skills to lead inspire others in the ecosystem while navigating with Stakeholders.

P R O F I L E S U M M A R Y

An Industry leader with strong values, off the chart business acumen with ability to succeed quickly while providing mentorship and career growth.

Proven Skill Set in managing large strategic clients in APAC & EMEA across banking & Fintech, strict regulatory compliance, complex decision-making processes, and support the business.

Consistent track record of overachievement, net new logo accomplishments and keen understanding of how to leverage relationship management & Stakeholders collaborations as a lever for growth.

Ability to develop creative solutions to add value to the client’s ecosystem & create a “Win-Win” Scenario.

Coordinates effectively with internal and external client team, steering efforts to expand existing business via client outreach with current clients and onboarding new clients through management of data governance policies and regulatory requirements.

Complete Profile ownership by way of strategizing successful due diligence checks with 100% quality achievements to meet the SLA and for the betterment of business to ensure growth in onboarding volumes and revenues.

Responsibility for processing of the Regulatory Reporting Files along with the latest updates and insight issues resolutions.

Conducted regular audits & reconciliations to verify the integrity of data used in regulatory reports, identifying & rectifying discrepancies in timely manner.

Acted as the main point of contact for regulatory authorities, fostering positive relationships and ensuring a smooth communication channel during inspections.

Played a key role in the preparation and submission of MiFID, EMIR & SFTS -reports, maintaining 100% accuracy in line with regulatory deadlines.

MiFID is a comprehensive framework aimed at regulating financial markets within the European Economic Area (EEA). Its main objectives are to harmonize regulations across the EEA, enhance investor protection, enforce transparency and foster competition in financial markets. MiFID regulates investment services, such as executing orders on behalf of clients, receiving and passing orders, and investment advice. The revised version of MiFID II expands on its predecessor, introducing more stringent rules on transparency, trading venues, high-frequency trading and investor protection

EMIR (European Market Infrastructure Regulation): EMIR focuses primarily on the over-the-counter (OTC) ingredients market. Its main objectives are to reduce systemic risk, increase transparency and reduce counterparty risk in the derivatives market. EMIR requires reporting of derivative contracts to trading repositories, the removal of certain derivatives from central

Bangalore, In +91 - 895******* ad07xy@r.postjobfree.com counterparties (CCPs), and the implementation of risk management measures for derivatives other than centrally cleared derivatives It also sets requirements exist for counterparts, including margining, collateralization, There are risk mitigation mechanisms such as performance management.

Detailed understanding of regulatory frameworks (EMIR, MiFID, Basel III, etc.).

Strong attention to detail, and the ability to work in a fast paced and regulated environment excellent communication and interpersonal skills.

Monitored and monitored regulatory changes, interpreted impact on banking operations and ensured timely implementation of compliance mechanisms.

Conducted internal compliance audits, identified gaps, and recommended corrective actions to bring them into compliance with regulatory standards.

Provided training to employees on regulatory requirements, fostering a culture of compliance throughout the organization.

Worked with external regulators in investigations and audits, ensuring all required documents and reports were available for review.

A W A R D S A N D A C C O L A D E S - HSBC Bank & ANZ Bank

Awarded for special acclaim from senior management and stakeholders for effectively handling critical and complex escalations.

Contributed valuable Kaizen ideas that were implemented, resulting in process improvements and increased efficiency.

Recognized as "Star of the Month" and "Star of the Year" in the company's Rewards and Recognition award ceremony for outstanding performance.

Achieved certification as a Customer Service Professional from CSIA Australia, demonstrating expertise in providing exceptional customer service.

C A R E E R C O N T O U R

Senior KYC Analyst (Team Lead) HSBC BANK Global Banking Market – Bangalore Feb ’2022 – Till date Growth Path & Noteworthy Achievements

Client Onboarding and CDD Management: Managed the onboarding of new clients and conducted ongoing Customer Due Diligence (CDD) processes for existing clients, ensuring adherence to defined service level agreements

(SLAs).

Escalated potential risks to relevant stakeholders in a timely manner.

Data Analysis and Reporting: Gathered and analyzed data from multiple sources to create Management Information

(MI) reports for senior management, enabling them to make informed decisions. Monitored key performance indicators (KPIs) and generated reports for senior management to evaluate the performance of Global Businesses.

Subject Matter Expertise: Acted as a subject matter expert on Global Businesses and Global Functions, providing guidance to team members and colleagues. Quick learner with the ability and desire to become a SME in technical areas Dashboard Creation and Automation & MI reporting.

Developed and maintained automated reporting tools, streamlining data analysis and reporting processes.

Process Enhancement and Compliance: Collaborated with cross-functional teams to improve compliance processes and streamline client onboarding procedures.

Ensured accurate and consistent data input, maintaining compliance and risk control as key performance criteria.

Workflow Control and Efficiency: Controlled workflow processes and adhered to associated procedures, enhancing operational efficiency in line with AML regulations.

Investigations and Risk Assessment: Conducted detailed client interactions to gather comprehensive information and documentation required for CDD profiles.

Ensuring basic KYC/AML/CADD/Credit renewal etc. for the managed set of customers

Informatica Data Governance- : Informatica offers a suite of data governance tools that include data cataloging, data lineage, data quality, and data privacy features to ensure comprehensive data governance.

One Trust Data Governance: One Trust provides a data governance and privacy platform that helps organizations manage data, automate privacy compliance, and establish data policies.

Utilized databases such as LEXIS NEXIS and Dun & Bradstreet to evaluate client risk based on business functions and financial activity.

Analyst Australia and New Zealand Bank (ANZ Bank) – Bangalore March 2012 – September 2014

Collaborate with Relationship Managers (RMs) and Client Liaison Group (CLG) to obtain and update all missing client KYC documents, adhering to all applicable guidelines and standards as per regulatory requirements.

Prioritize critical escalations from Australian State Centers stakeholders to ensure timely and efficient resolution

Building and maintaining healthy business relations with corporate clients & stakeholders.

Leverage a strong background in commercial lending documentation, procedures, policies, and regulatory requirements to ensure accuracy and compliance in document preparation and review

Cross sell transactional banking products to the existing/new clients i.e. Trade, Payments, Cash Management, Treasury, Factoring, Bank Guarantee, Escrows & Structured Deals.

Customizing the products offerings of the Bank as per the requirements of the customers.

A C A D E M I C C R E D E N T I A L S

Bachelor of Arts from Dibrugarh University Assam-2005 Diploma in Computer Infotech-Maniapal University 2006

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