Due Diligence Compliance Analyst

Varun Dyapa *****.*****@*****.*** 201-***-****

EDUCATION: TEMPLE UNIVERSITY, Fox School of Business, Philadelphia, PA

Bachelor of Business Administration, Graduated: December 2016

Major: Finance

EXPERIENCE:

BBVA – New York, NY

Corporate Investment Banking - Compliance Analyst

April 2019 – December 2023

Onboarded large and mid-sized Latin American and American corporations to transact in hedge funds, wealth management, and syndicated loans.

Ensured existing and new clients adhered to regulatory requirements for their respective business fields before placing any transaction.

Conducted client due diligence (CDD) and enhanced due diligence (EDD) in accordance with internal policies and procedures.

Accessed internal and external data for relevant global and country specific KYC documentation and negative news.

Review data and perform screenings to highlight any issues for escalation and enhanced due diligence.

Maintained close relationship with compliance, middle office, traders, syndicate loan department and relationship managers for onboarding deadlines.

Provide a risk score according to transaction volumes, product type and jurisdiction.

Assisted the enhanced due diligence team by performing a transactional lookback on high risk customers.

State Street Corporation- Boston, MA

AIS Private Equity Fund Services Associate

May 2018- March 2019

Monitor cash and custody activity for a specified list of funds involving complex private equity fund structures and process transactions related to capital calls, capital distributions, expenses, tax checks, investor cash, and internal transfers.

Preparation of NAV calculations for funds at the end of each month.

Report discrepancies that arise in a prompt and professional manner to the client, ensuring follow up and reconciliation in a timely manner.

Monitor internal systems for proper settlement of all FX and USD transactions.

Work closely with inter-departmental contacts in processing all necessary paperwork through completion of wire settlement to ensure risk mitigation.

Reconcile investor capital call and distribution files as necessary.

Process monthly investor reconciliation files and follow up internally and with the client when necessary.

Work closely with auditors and third- party administrators during audit cycles.

JPMorgan Chase & Co.- Brooklyn, NY

CAO Operations- KYC Solutions Analyst

August 2017- April 2018 (Contract)

Communicate, follow-up and attach into a client KYC record various alerts, Negative Media, PEP, Sanctions, etc.)

Exhibit the highest standards of customer service to our internal and external customers (inclusive of confidentiality)

Collection and verification of confidential client data via publicly available and internal sources.

Compare differences within KYC records, highlight and escalate any discrepancies.

Meet firm-wide quality standards.

Communicating/ escalating issues to management when applicable.

Assist in determining correct client owner after client owner is considered unknown.

Assist other analysts in finding correct client owners for clients.

Create Microsoft Visio process flow charts for client owner unknown functions.

State Street Corporation – Clifton, NJ

AML/KYC Compliance Intern

June 2016 – December 2016

Collaborated along with multiple State Street groups in order to complete internal AML Remediation Project.

Performed KYC analysis to thousands of Private Equity Funds, Hedge Funds, and Hybrid Funds.

Assisted State Street Share Services team in conducting account verifications for CIP purposes.

Assisted risk levels to determine CIP exemptions or EDD escalations.

Monitored and identified for suspicious financial activity.

Produced daily and weekly Excel reports to facilitate Senior Management evaluate performance and quotas.

Analyzed clients’ legal documents varying from Partnership Agreements, Private Placement Memorandums, Financial Statements, and SEC-issued information.

SKILLS:

Strong understanding of Bank Secrecy Act and Anti-Money Laundering regulations

Working knowledge of SQL Programming Language

Proficient in Microsoft Office Suite (Excel (Pivot Tables, V-Lookup), Word, PowerPoint)

Proficient in Microsoft Visio

Proficient in Microsoft SharePoint

Proficient in Axure RP

Experienced using search engines such as Lexis Nexis, World Check and OFAC

Strong understanding of Generally Accepted Accounting Principles

Strong Communicator

Organized and detail-oriented

Contact this candidate