Senior Auditor- Aml Compliance

CURRICULAM VITEA

Name : Shashikala Ashok

Email ID : **********.********@*****.***

Contact No: 614-***-****

Career Expectations:

Professional

Summary:

Academic Profile

Post-Graduation:

Seeking a challenging position with opportunities in an environment, where I can grow along with the organization with great responsibility. Seeking a challenging career in the field of finance and HR.

• Professional experience of 11+ years in the field of Anti money Laundering, Fraud Detection, Risk Management and Account Auditing.

• Dynamic and highly qualified AML Analyst with

extensive knowledge of accounting principles, taxation policies and government regulations. In-depth

understanding of anti-money laundering procedures and laws. Self-motivated and highly organized with an

exceptional work ethic.

• Thorough understanding of the fundamental principles of business administration and their practical usage.

• Highly organized thought process with an edge of innovativeness.

• Profound managerial qualities and skills to handle multiple tasks simultaneously.

• Commitment and passion to learn and meet challenges.

• Good understanding in KYC, financial regulatory

environment, and AML risk implications.

• Efficient in Account Reconciliation & Fraud Guard.

• Highly proficient in Signature Verification & Check Fraud Detection.

• Strong Knowledge in Transaction & Account

Monitoring, KYC & Compliance.

• Have Good Analytical Skills.

Master of Business Administration (Finance & HR) – 2006 Bangalore University, Karnataka State, India

69% (6.9 CGPA)

CURRICULAM VITEA

Name : Shashikala Ashok

Email ID : **********.********@*****.***

Contact No: 614-***-****

Bachelors:

PUC (10+2):

SSLC (10):

Personal Profile:

Work Experiences:

Bachelor of Commerce - 2004

Bangalore University, Karnataka State, India

60% (6.0 CGPA)

Commerce (MECA) from St Ann’s College - 2001

Dept. of Pre-University Education, Bangalore, Karnataka State, India 64% (6.4 CGPA)

SSLC from St. Mary’s Girls High School - 1999

KSEE Board, Bangalore, Karnataka State, India

67% (6.7 CGPA)

• Solid organizational skills with ability to consolidate and analyze data received from multiple clients.

• Very good analytical, comprehension, investigative and research capabilities in details.

• Self-starter, able to prioritize key tasks effectively.

• Ability to maintain very high-quality standards without impacting throughput.

• Possess client service skills and customer focused with an approachable, persuasive personality.

• Good structured and comfortable functioning in a virtual environment, both independently and in teams.

• Highly motivated, self-managed and proactive, able to handle multiple responsibilities.

Organization: DRM & Co.

Designation : Senior Auditor

Duration : Feb 2016 to March 2021

Responsible for participating in audit projects in one or more Areas of compliance audit activity, which consists of planning, evaluating, investigation and reporting; continuous monitoring and risk assessments over areas of assigned responsibility; and monitoring and verification of auditee management resolution of audit findings. CURRICULAM VITEA

Name : Shashikala Ashok

Email ID : **********.********@*****.***

Contact No: 614-***-****

Roles & Responsibilities:

• Verifying client’s financial activities and protect their and the customer’s businesses from possible misuse by criminals. we check the client’s business frequently to avoid such financial crime.

• Check for unplanned transfers, modifications, or amendments to the routine transactions of the client.

• Check if there are any changes in ownership, dividend payments, capital contributions, powers of attorney, or any other transaction that may change the authority of the client’s business.

• Monitor any unusual transaction that may not align with the client’s expected business activity.

• Checking the source of payment received from the client is essential. Check that the fees come from known sources and not from unknown and unfamiliar accounts or third parties.

• Implementing internal guidelines, policies, controls, and procedures for effectiveness and update them accordingly as and when needed.

• Implementing government requirements and record keeping.

• Report suspicious transactions

• Few suspicious activities in the transaction of the client:

• The beneficial owner or the purpose of unnecessary transactions is unknown.

• Unusual large transactions to a client

• Inconsistent large money deposits or withdrawals with the business nature of the client

• Unexplained changes in the ownership

• Unnecessary involvement of a third party

Organization: Deutsche Bank Operations International Global Services Pvt. Ltd (DBOI)

Designation : Analyst

Duration : Aug 2008 to Apr 2013

Monitoring:

• Monitoring of Transactions & Accounts of Corporate & Individual Accounts

CURRICULAM VITEA

Name : Shashikala Ashok

Email ID : **********.********@*****.***

Contact No: 614-***-****

• Reviewing transactions according to the procedures

• Drafting queries and interacting with the Front-end team

• Reporting of Suspicious transactions

KYC:

• Checking of customer background.

• Reviewing the customer’s background & analyzing it with the transaction behavior.

• Cross checking the KYC details with the Front-end team.

• Experienced in CDD (Customer Due Diligence) / EDD

(Enhanced Due Diligence) / Transaction monitoring of Institutional Client for Investment Bank, including periodic review / KYC refresh.

• Excellent understanding of AML/KYC terminologies.

• Knowledge of Watchlist/Media alert monitoring activities. Reporting:

• Preparing team production & performance reports.

• Reporting of production plans to the Clients accordingly.

• Reporting of mismatches & areas of improvement in the procedures to the Clients.

• Preparing Suspicious Activity Reporting (SAR)

Administrative Functions:

• Preparing the daily & monthly reports.

• Co-ordination with the team members to enhance production level.

• Compliance with the laid down procedures.

Department : Legal Risk and Capital

Process : SSI Static Data Update

Duration : April 2007 to August 2008

CURRICULAM VITEA

Name : Shashikala Ashok

Email ID : **********.********@*****.***

Contact No: 614-***-****

Achievements:

• I had worked for the Static Data Team & cleansed the priority Client’s Standard Settlement Instructions for three different regions – Frankfurt, London & Hong Kong (Equities) and had been the final level of quality check based on performance & accuracy for each process.

• Familiar with Swift codes and handled beneficiary and custodian details for clients.

• I had been the single point of contact for the internal MIS for the team & was responsible for providing the Error Reports to the Management on a Daily, Weekly & Monthly basis. Analyzed the error trend of every individual & took measure to prevent it.

• I had been the Single point of contact between the Data Cleansing Team & the Pipeline Management Team to provide complete & accurate information about the status of the Client be worked on, daily.

• Supported Team Manager in day-to-day activities and always acted as a backup.

• Ensuring the KPI’s are not breached and met with all the requirements.

• Focus on stabilizing the process and meeting the customer expectation while optimizing the cost.

• Responsible for tracking daily performance metrics and devise measures to improve the same.

• Ensure SLAs are met daily by the team.

• Assist with training and identifying training needs within the team.

• Awarded multiple Star performer & Spot Award by Deutsche Bank for maintaining 100% Quality consistently at the time of transition.

• Trained on German Language from Max Muller offered by the employer DBOI & certified A1.

• I was the first in the team to be moved into the final stage of Cleansing to follow the Straight Thorough Process to avoid failed trades based on Zero Errors.

• Appreciated for my consistent productivity, accuracy, and innovative approaches.

• Assisted Management with various tasks like process mapping, quality control and training people.

CURRICULAM VITEA

Name : Shashikala Ashok

Email ID : **********.********@*****.***

Contact No: 614-***-****

Skills:

Extra-Curricular

Activities:

Personal Details:

• I had been looked upon within the team as a Mentor as have been a quick learner & have shared the best practices within the team.

• Received “BEST STUDENT “Award & Topper of the college in post-Graduation.

• MS Office (Excel, word, power point, outlook).

• Strong problem-solving ability

• Excellent work ethic

• Strong interpersonal skills

• Inter School Sports Champion for consecutive years.

• Excellent Communication, and interpersonal Skill, Coordinator during college events, convenience ability, Handling team Effectively.

Date of birth : 12.30.1982

Sex : Female

Marital status : Married

Hobbies : Painting, Travelling & Listening music

Date: 8/31/2022

Place: Dublin, OH

Contact this candidate