+919*********,

+918********* Ravi Dev Yadav

adiw3l@r.postjobfree.com Exempt non Officer

Block B - Flat no 4 Pawar Heights

near Maharashtra electronics Corp,

Sholapur, India, IN, 411013

SUMMARY PROFESSIONAL EXPERIENCE

Executive Profile: 9.5 years of Present - Oct '17

experience in with Client Onboarding

,KYC, AML & Back Office Operation Credit Suisse Pune, IN

with Subject Matter Expertise A well- EXEMPT NON OFFICER

presented, industrious individual who Roles & responsibilities: Liaising with the client implementation teams, Clients sales on day

has extensive in-depth experience of to day basis in order to fulfil the KYC/AML document requirements. Advise Front office on

KYC, AML Operations, Client the on boarding requirement in accordance to Bank's AML/KYC Standards and regulatory

Onboarding, FATCA, CRS, Transaction requirements and partner with the team to meet the requirements. Review and

Monitoring, Sanction Screening, Due corroborate KYC information submitted by Front office, perform an independent review

Diligence, Relationship Servicing etc. and risk rate client in accordance to regulatory as well as Group KYC/AML policy and

My Key skills are working with strict procedure. Assess and ensure the relevance and completeness of KYC information

Investment Banking process oriented supplied by the Front office and perform appropriate due diligence checks & Information

framework, Quality Assurance and searches to comply with bank standard of client on boarding Highlight deficiencies,

Risk Categorization of clients and to suspicious AML, PEP, Negative news or other non-compliance issue to relevant parties and

identify necessary due diligence per management Obtaining client FATCA/CRS information and classify the risk at the time of

the local regulatory requirements, onboarding by generating reports from Client risk scoring tool. Perform validation of

Client Interactions & Team completeness and accuracy of KYC documentation including but not limited to client's

management. My Competencies are identity, beneficial ownership, and bearer share information. Obtain due diligence &

and include: Due Diligence (Standard screening reports on clients, review issues highlighted and partner with front office sales

and Enhanced), Screening for to provide disposition as necessary. Work on tight deadlines and be accountable for

negative news, Categorizing politically ensuring assigned KYC are completed efficiently Provide reporting of KYC Progress and

exposed person (PEP), risk evaluation identify roadblocks for corrective actions. Conducting Enhanced Due diligence (EDD)on

management and sanctions screening prospective and existing clients to identify issue presenting potential legal, regulatory

based on regulatory requirements,sanctions or reputational risk primarily utilizing publicly available data source, vendor

and risk classification. Expertise in report and reviewing client documentation. Support Global market and Investment

conducting Extensive Due Diligence Banking & Capital Markets (IBCM) for Institutional clients & custodian services, Private

Investigations using public and Entity, Listed,Funds, Trust, SPV,PIC and Regulated/ non-Regulated

private database in accordance with

Anti-Money Laundering (AML) BSA

and other regulatory standards to Process Specialist Sep '16 - Aug '17

prevent risk. Additionally I am well Cognizant Technology Solutions (UBS Pune

organized and good in Negations, Bank

Planning and effectively handled

Engineering

stringent deadlines.

Roles & responsibilities: Review of KYC for new business cases, periodic review cases and

KEY SKILLS event driven review cases. Conduct remediation and data management and Collect

required AML/KYC documentation on all clients Documentation & Verification of client

in-depth experience of data Information to validate customers in compliant with KYC requirements. Procuring

KYC KYC information about clients over the public domain (3rd parties website, Registry, stock

exchange) to complete the reviews of the KYC documentation for Periodic reviews

AML Operations

Recertify the KYC forms (due diligence package) for completion obtains the mandatory

documents and reports as per requirements. Responsible for setting up new client

Client Onboarding FATCA

accounts across various systems for trading with the products like

CRS Transaction Monitoring Equities/Derivatives/Fixed Income depending upon the clients requirements. Work closely

with Country Compliance to ensure KYC reviews are signed off and that any repairs or

Sanction Screening additional information required is sought in a reasonable timely manner. Reconfirm

consumer's ownership structure, conduct PEP/negative news and

Due Diligence AML/Sanctions/Compliance checks to Ensure KYC completeness, accuracy and

quality/readiness. Conduct research and internet searches when required to review client

Relationship Servicing & customer profile in database and ensure information is correctly updated. Identify red

flags, unusual or suspicious documentation or activity and judge the need for escalation

conducting and to do adequate checks.

KYC Team Management

KYC Analyst May '15 - Feb '16

Data Management & Data Analysis HCL (Deutsche Bank Bangalore)

Coordination

Insurance and Finance

Client Onboarding KYC AML Roles & responsibilities: To conduct AML/KYC review on client documentation stored in

internal repositories and publicly available information: performing the necessary

Back Office Operation screening against relevant search engines and sanctions lists. Perform review, collection

and data verification scope to ensure all KYC records are accurate and complete prior to

data management database final review of the client profile. To engage with relevant stakeholders for required

KYC/AML interaction to complete cases as per stipulated timeline. Update identification

search engines Data Analysis information & evidence any material change to the business or relationship via a third

party source. Perform PCR & RDC of the Deutsche Bank clients to determine PEP

screening or any negative information. To classify client's risk profile based on the review

result as per guideline and policy

Senior Team Member Jun '11 - Aug '15

Bank of America Gurgaon, Haryana

Roles & responsibilities: On Boarding new prospect and transacting client in compliance

with the regulatory Scrutiny and Operational Overhead. Responsible for the preparation of

basic customer AML KYC renewal profiles, researching, analyzing, evaluating and

documenting KYC information and taking appropriate actions. Identify whether the

transaction is suspicious/ not-suspicious by conducting look-back reviews. Review and

analyze leads for potential suspicious activity, including those generated from detection

scenario processes, negative media reports, transaction review, Wealth & Asset

Management Perform searches is appropriately evidenced on the client file and within the

KYC database. Supports the Middle and Front Offices in setting up clients, verifying data,

completing AML checks as well as maintaining client records. Exposure to FATCA

regulations and U.S Tax form documentation W-8 BEN-E, BEN & W-9 FATCA and Corporate

Tax Compliance and Counter parties, to collect corporate tax documents (W9/W8s).

Core Accomplishments: Awarded with HCL Excellence Primo 2015 on being the Star

Performer for the Quarter. Awarded with Silver for consistent performance among the

Team. Awarded with Gold for best performance for Quality and productivity. Awarded with

bronze awards for consistent performance in highest efficiency and quality. Awarded with

Silver for highest production and document uploading

EDUCATION

M.com Finance MMM 'YY - Jun '13

Kanpur University Kanpur

Master

B.Com Finance MMM 'YY - Jun '11

Jagran College of Arts, Science & Kanpur

Commerce (Kanpur University)

Bachelor

MISCELLANEOUS

Executive profile:

Management.

Categorizing politically exposed person (pep), risk evaluation management and sanctions

screening

Professional experience:

Advise front office on the on boarding requirement in accordance to bank's aml/kyc

standards

Review and corroborate kyc information submitted by front office, perform an

independent

Procedure.

Highlight deficiencies, suspicious aml, pep, negative news or other non-compliance issue

to

Perform validation of completeness and accuracy of kyc documentation including but not

limited

Publicly available data source, vendor report and reviewing client documentation.

Cognizant technology solutions (ubs bank pune) process specialist (9/3/2016 - 24/8/2017)

Documentation & verification of client data information to validate customers in compliant

Procuring kyc information about clients over the public domain (3rd parties website,

registry,

Responsible for setting up new client accounts across various systems for trading with the

Work closely with country compliance to ensure kyc reviews are signed off and that any

repairs

Or additional information required is sought in a reasonable timely manner.

Reconfirm consumer's ownership structure, conduct pep/negative news and

Aml/sanctions/compliance checks to

Ensure kyc completeness, accuracy and quality/readiness.

Conduct research and internet searches when required to review client & customer profile

in

Identify red flags, unusual or suspicious documentation or activity and judge the need for

Escalation and to do adequate checks.

Hcl (deutsche bank bangalore)

Kyc analyst (13/5/2015 -28/02/2016)

To conduct aml/kyc review on client documentation stored in internal repositories and

publicly

Sanctions lists.

Perform review, collection and data verification scope to ensure all kyc records are

accurate

And complete prior to final review of the client profile.

To engage with relevant stakeholders for required kyc/aml interaction to complete cases

as per

Stipulated timeline.

Update identification information & evidence any material change to the business or

Relationship via a third party source.

Perform pcr & rdc of the deutsche bank clients to determine pep screening or any

negative

Information.

To classify client's risk profile based on the review result as per guideline and policy

Bank of america - gurgaon, haryana

Senior team member, 06/06/2011 - 08/05/2015

On boarding new prospect and transacting client in compliance with the regulatory

scrutiny and

Operational overhead.

Responsible for the preparation of basic customer aml kyc renewal profiles, researching,

Analyzing, evaluating and documenting kyc information and taking appropriate actions.

Reviews.

Review and analyze leads for potential suspicious activity, including those generated from

Detection scenario processes, negative media reports, transaction review, wealth & asset

Supports the middle and front offices in setting up clients, verifying data, completing aml

Checks as well as maintaining client records.

Corporate tax compliance and counter parties, to collect corporate tax documents

(w9/w8s).

Core accomplishments:

Awarded with hcl excellence primo 2015 on being the star performer for the quarter.

Awarded with silver for consistent performance among the team.

Awarded with gold for best performance for quality and productivity.

Awarded with bronze awards for consistent performance in highest efficiency and quality.

Awarded with silver for highest production and document uploading

Education:

2011.

Certification:

Diploma course in m.s. office and internet.

Drive performance & lead change

Training on global market operations, client servicing, anti money laundering,

performance to

Higher standard, creativity & analytical approach to problem solving.

Extra curricula's:

Providing subject matter expertise to the business and responding to queries and being a

point of

Reference.

Highest number of onboarding request completed globally

Checking whether the work assigned has been completed within the specific time.

Checking whether the work assigned has been completed within the specific time.

Preparing daily productivity report of the team

Identify improvement, standardization opportunities for simplification of various

processes

Participate in the team activity whenever get an opportunity.

Key skills:

Coordination for different tasks at a time

Able to prioritize tasks and workloads in order of importance.

Contact this candidate