Customer Service Representative

YESHASWI SRINIVASA

Naomi Crescent, Mississauga, ON L5B 3Z5

437-***-**** ********.*********@*****.***

https://in.linkedin.com/in/yeshaswi-srinivasa

RISK ANALYST

HIGHLIGHTS

Over 4 years of experience in Compliance, Financial Services and Investment Banking with MBA in Financial Management

Hands on experience and working knowledge on KYC remediation/AML/ transaction monitoring in banking/Financial institution.

Experience in performing periodic file reviews ensuring activities are reviewed in a holistic manner across the spectrum of products and services used by the customer.

Experience in conducting initial reviews of new foreign correspondent banks (FCB), financial institutions. Reconciliation of transactions with customer’s profile

Strong background in providing excellent service and focusing on building client relationship and driven by result

Work experience in documenting, reviewing customer’s information to ensure compliance with local regulations and company requirements with great administrative skills

Proficient with Microsoft Office Suite of applications: Word, Excel, PowerPoint, Outlook, Adobe and Certified in SAP CO module.

Ability to make sound decisions, handle high workloads and meet tight deadlines by setting priorities and working independently as well as a team member to complete tasks efficiently

Always striving to learn new things and a detailed oriented person. Ability to manage large workloads with accuracy. Honest, ethical and trustworthy attitude with strong problem solving, planning and time management skills

Excellent organizational, outstanding interpersonal and communication skills with the ability to negotiate and communicate ideas and thoughts clearly and concisely: fluent in English, Hindi, Kannada and familiar with German

Willing to pursue Canadian Securities Course (CSC) or Investment Funds Institute of Canada (IFIC) certifications

PROFESSIONAL EXPERIENCE

Business Administrator Insurance Explorer Inc, Mississauga, ON 2019 – March 2020

Assisted in achieving strategic wealth management and financial advisory services through multi-level marketing

Involved in administrative activities and helped senior advisor in performing financial needs analysis, needs assessment, and consultative methodologies to present and close debt solutions, retirement income, educational funding, income protection, and wealth/asset management

Coordinated and organized meetings, conference calls and assist in preparing required documentation

Maintained a high-volume workload within a fast paced environment. Assisted an average of 550 clients in any given week and consistently met performance benchmarks in all areas (speed, accuracy and volume).

Senior Analyst - Finance Standard Chartered Gbs, India 2018

Prepared documents and verbiages for risk mitigation of various detection scenarios in the financial transaction monitoring process and worked on regulatory requirements to minimize operational risk

Ensured information management and governance with both internal and external teams

Prepared analytical reports based on the investigation of money laundering alerts and financial transactions considered suspicious

Analyzed the investment patterns of bank’s customers by conducting enhanced due diligence research to find out the background information that was used for decision making in initiating, maintaining or closing business relationship

Associate Analyst - Finance Pricewater housecoopers Sdc, India 2015 - 2017

Worked on projects relating to collateral management, investment banking and compliance

Reviewed the Credit Support Annex (CSA) documents which covered terms of the collateral arrangement between two financial entities and then setup data from CSA to Transaction Lifecycle Monitoring (TLM)

Reviewed and created Standard Settlement Instructions for the derivative agreements and prepared the check list for client controllers

Checked documents to identify necessary information such as list of directors, authorized signatories and their access over the accounts

Verified information through acceptable source of documents prescribed in each country’s (CDD) Customer Due Diligence standards. All valid information/documents were mapped against each Regulatory Compliance/KYC requirements

Worked on investment analysis and performed transaction monitoring on customer bank accounts.

Contacted clients for new updates and changes to be performed on the cases; updated internal process procedures, policies and regulatory requirements as per the Service Level Agreements (SLAs) to ensure quality and accuracy

Financial Associate State Street Global Advisors, India 2014 - 2015

Launched new financial products for Europe, Middle East and Africa (EMEA) and North American (NA) markets

Contacted various upstream teams and vendors for the launch of new financial products and monitored it to ensure the availability of the Fund Net Asset Value (NAV), characteristic and other fund related information on the website assisting in technical support

Ensured the availability of data and the validation of the funds for various existing as well as newly launched funds in the market using UNIX and FACTSET applications

Approved institutional Exchange-Traded Fund (ETF) factsheets for various regions such as Europe, the Middle East and Africa (EMEA), Asia-Pacific (APAC) and North America (NA) for Spyders (SPDRS) website

Ensured preparation of specifications for different products for monthly and quarterly metrics

EDUCATION AND CERTIFICATIONS

Completed Life License Qualification Program (LLQP) certification. Waiting for provincial exams to be conducted 2020

SAP Controlling Organization (CO) module - ECC 6.0 EHP5, SAP, Germany 2014

Master of Business Administration (Finance), Christ University, India 2014

Bachelor of Commerce (Finance and Accounting), Jyoti Nivas College, India 2012

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