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KYC, AML, Due Diligence, Financial Crime Compliance

Location:
Toronto, ON, Canada
Posted:
March 12, 2020

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Resume:

CVR SRI HARSHA, B.Tech, MBA, CAMS

+1-416-***-**** adb9yy@r.postjobfree.com Canadian Permanent Resident LinkedIn: www.linkedin.com/in/sriharshacams

Address: ***, ***** **** ****, *********, Toronto-M8Y 2R1 SUMMARY

Certified Anti Money Laundering Specialist (CAMS), yearn to bring in value addition to my employer,

Close to 7 years of experience in both Retail Banking (Credit, General Banking) & Investment Banking domains.

Profound knowledge of KYC periodic reviews of Investment Banking clients (all types of risk categories),

Competent in Anti Money Laundering & Financial Crime Compliance- Negative news reviews, Transaction monitoring, Risk assessments of clients,

Adept in identifying, driving new process improvement initiatives in business processes

Proven due diligence, supervisory, active stake holder engagement experience at reputed global banks,

Have profound exposure to Screening tools like Factiva, RDC- GRID,

Hands-on experience on Fenergo, MS Excel, Word, SAP Business Objects, Power Point, WORK EXPERIENCE

UBS, Hyderabad, India

Role: Client Periodic Review (KYC) Approver Jul 2018– Feb 2020 Accomplishments

Got promoted to “KYC Reviews Approver role” from a reviewer role within a span of 8 months for having performed high quality KYC Periodic client reviews, background screening without any regulatory errors.

Received certificate of appreciation for selfless contribution as a KYC approver to our team & for making it the best in our division.

Responsibilities

Performed a 4 eye (Quality Control) check on KYC documents processed by analyst & approved the same.

Coordinated with Financial Crime Compliance team & obtained guidance / interpretation of certain clauses in AML policy document of the bank.

Highlighted issues identified in KYC documents sourced & got it fixed by the respective analysts / reviewers before approving the review. Also, provided Training & guided new joiners on the BAU processes.

Suggested / Highlighted improvements or enhancements needed in the BAU process,

Supervised team performance by highlighting any willful acts committed by analysts during the course of periodic reviews. Also, ensured timely escalations of risk rating of clients to Financial Crime Compliance Team as per Bank’s Compliance, Regulatory policy.

Monitored client-screening documents & escalated negative news, sanctions / PEP exposure to Financial Crime Compliance.

Credit Suisse, Pune, India

Role: Exempt Non Officer Jun 2016 – Jul 2018

Accomplishments

Received a RAVE (Recognizing & Valuing Excellence) Gold bar appreciation from our EMEA Key Accounts Management Director acknowledging my diligence & investigative abilities in introducing & performing new quality control checks that were very effective in improving the data integrity & reporting quality. CVR SRI HARSHA, B.Tech, MBA, CAMS page 2

Received another RAVE (Recognizing & Valuing Excellence) Gold bar appreciation from our Client Finance Division Senior NY Director appreciating my efforts in streamlining client revenue type recognition process. Responsibilities

Monitored high value client trades, Performed Trade / Revenue data investigations, Validated with Trading / Sales.

Performed due diligence, Monitored Trade volumes from different trade sources & Validated abnormal trends,

Investigated P n L bookings, Reconciled with Client Revenues & Handled Third Party Data Submission Projects,

Monitored & Validated revenue movements between products / clients / Marketers etc.,& Investigated inflated revenues, duplicated revenues, unallocated revenues & notified Senior Management State Bank of India, Hyderabad, India

Role: Assistant Manager MAR 2011 – JUL 2014

Accomplishments

• Received “Certificate of Excellence” from our Assistant General Manager for having played a key role in improving the financial inclusion in rural areas & among illiterate / semi-literate consumer societies Responsibilities

Handled Retail Credit Business of the branch, Monitored & approved high value transactions, cash payments etc.,

Handled responsibility as a Loan / Credit Processing Officer in Retail Banking & Performed Pre & Post sanction inspections,

Conducted, Prepared Self Audit report for our branch & Assisted our Chief Manager in preparing Audit Compliance Reports,

Handled deceased customers’ account closure process & Supervised General Banking Operations at a Semi Urban Currency Chest Branch & KYC reviews of Corporate / Individual customer accounts & Responded to Audit requests EDUCATION

Master of Business Administration* 2016

BITS Pilani, Pilani Campus, Rajasthan, India

Summer School in Finance 2015

Imperial College of London, London

Bachelor of Technology* 2009

Narayana Engineering College, JNTU, Nellore, Andhra Pradesh, India

*Evaluated as equivalent to Master’s & Bachelor’s degree from a university in Canada by WES CERTIFICATIONS

Valid CAMS certification (Reference No: ER-000107480) EXTRA-CURRICULLAR ACTIVITIES

Participated in UBS CSR volunteer activities, Organized Team activities,

Previously performed Treasurer duties- handled our team fund in Credit Suisse,

Worked as a Student Coordinator for International Conference organized by our Management Department.



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