Address: #**, **** **** ****** ****, K.Channasandra, Kalkere Post, Bangalore 560043
Mobile: +91-903******* Email: email@example.com Professional Experience and Accomplishments:
Seeking a challenging role that of a Money laundering, know your customer, fraud risk compliance, Derivative Analyst in a renowned organization. I want to utilize my skills and experiences for the better growth of the company and my personal growth as well. DBOI Global Services Private Limited (Deutsche Bank) – From May 2012 to Till Date KYC Client on-Boarding (Outreach/Remediation/On-boarding) (Apr’14 – Till Date) Process Supervisor:
● Managing daily priority cases with individual’s team member to achieve the business target.
● Generate the reports on monthly basis to achieve the process excellence and enhance the productivity of the team.
● Support KYC onboarding team by strictly adhering to the defined procedure to ensure requisite Enhanced Due Diligence to identify Red Flags
● Supplying detailed, regular Knowledge transfer in relation to KYC and Onboarding queries including documentation requirements to minimize error and ensure effective client Periodic review process with AML policies (SDD, CDD, EDD)
● Review cases and providing detailed observation regarding Documents using appropriate research tools and external data sources, such as Bankers Almanac, company registries, regulator's websites,
● Validation of the Customer Identification Program and Customer Due Diligence elements forentities to comply with the US Regulations, ISDA, FATCA/CRS, EMIR, Mifid, Dodd Frank.
● Performing Fircosoft checks, RDC and Google Search for SDD and CDD clients. Lexis Nexis due diligence included for EDD clients.
● Escalated to local AFC for sanction/PEP/MLTF factors and exceptions on case to case basis.
● Obtain and update all missing client documentation from client, sourcing and updating accurate and relevant client data from business information sources and other Information provider.
● Reaching out to Business for pending requirements, validating documents received from the client and performing static changes in the tool.
Listed Derivatives – Brokerage “Payables & Receivables” (May’12 – Mar’14) Analyst: -
● Establish good client relations to minimize the aged receipts and payments of brokerage settlement.
● Ensure the accuracy towards all the payments and receipts of large settlements on a daily basis, managing the client accounts and to provide them with the best clearing services.
● Coordinate with various upstream and downstream teams in a trade life cycle to resolve reconciliation breaks
● Responsible for reconciling brokerage for exchange executed trades for FIP, commodity & equity products.
● Validating static for products in term of rates changes, setting up static for new clients and brokers which get on boarded in business.
● Validating payment by contacting client after reconciliation is done on broker invoice while processing payment through payment instruction for final settlement.
● Responsible to response all the settlement failure queries along with performing multiple daily and weekly tasks for the team.
● Creating of P&L template for seeking an approval of single sided entries which hit P&L directly.
● Raising Opals to fix the static for rates, currency, broker codes and client adjustments.
● Amending the Invoices, if there is any change in address or rate etc and dispatch the hard and soft copy of the invoices to different Brokers/clients and collecting the brokerage commission.
● Chasing Clearing brokers/clients for the execution brokerage fee and timely responding all the queries related with.
● Negotiating in the Conference Calls with Sensitive Clients along with the management to bring down the Outstanding and booking all received funds to their respective client account. Projects:
● NSE Migration: - My role in this project was to reconcile all products of NSE Market, reconcile the invoices, understand the risk & control on reconciliation & processing the invoice for payment in 2 days. Also, understand all daily activity in NSE brokerage.
● Accruals Write Back: - My role in this project was to reconcile all the third-party execution accounts and move all the funds in our P&L. This was done error free and within the allocated time frame which was appreciated by Onshore and risk team.
● Auto Trigger:- My role in this project to clear the breaks in the system which triggered in the local KYC. I have investigated all the breaks and approach to respective person to complete or cancel the request and take mail confirmation to cancel from our end incase individual doesn’t have access for local region, which help to set up the client realationship with the bank. Key Skills:
● Possess multitasking capabilities with high accuracy.
● Excellent communication skills in written and verbal English.
● Possess outstanding presentation skills.
● Possess good organizational and management skills. Academic Qualification:
● Completed Executive PGDM in finance from Alliance University from the year 2016- 2017.
● Completed B.COM from Kristu Jayanti College, Bangalore from the year 2008 – 2011.
● Completed 10th & 12th From KV MEG & Centre, Bangalore from the year 2006 & 2008 respectively.
Marital Status Married
Date of Birth 05 SEPT 1990.
Language known English, Hindi, Punjabi, German (Beginner) Declaration:
I hereby declare that the above-furnished details are correct and true to the best of my knowledge and belief. Gagandeep Singh