Key Skills

Anti-Money Laundering -Investigations, Compliance, CDD, Transaction monitoring & KYC

Money laundering typologies / Sanctions / STR / Customer Due Diligence CDD / Client Onboarding/ Liaison & Coordination with RM

Critical thinking

Team Management

Training / Quality Assurance

Process Improvement

Data Collection, Analysis and Reporting

Knowledge Management

MIS Management

Certified Anti-Money Laundering Specialist (CAMS) - ER-000134066

Certified Global Sanctions Specialist (CGSS) - ER-000142719

Profile Summary

CAMS and CGSS certified professional with 10 years of solid experience in Anti-Money Laundering, Compliance, Transaction monitoring, KYC, Sanctions and Customer Due Diligence (CDD)

Conducting the AML, KYC and on boarding of clients and business partners

Prepare risk assessment for the new corporate customers and conducting periodic reviews

Guiding branches to carry out each transaction to be compliant with regulation and conducting training

Assisting with the development, implementation, and maintenance of the Compliance program within the institution.

Ensuring compliance with current AML regulations and other relevant legislation

Reviewing customer’s profile and account activity to identify any suspicious activities and anomalies. Report and file Suspicious Transaction Report (STR / SAR) to FIU

MLRO and Compliance officer approved by regulators for financial institutions and DNFBP’s

Completed CISI DIFC rules and regulation certification

Education

MBA (Finance) from SRM University, India in 2011

B.B.M from Bharathiar University, India in 2009

Soft Skills

Career Timeline

Work Experience

Aug 2021 to till date – Trident Management Consultancies as Compliance Officer and MLRO

Role:

DFSA (Regulator) approved MLRO and Compliance officer for Financial institutions and DNFBP’s

Conducting the AML, KYC and onboarding of clients and business partners.

Undertake monitoring and surveillance through a risk based monitoring program.

Participate in the Board meeting of firms and ensure proper governance.

Implement relevant local Compliance policies and procedures to mitigate the risk of regulatory rule breaches.

Conduct periodical reviews of manuals, policies, processes and procedures, Regulatory correspondence and submission of regulatory returns.

Regulatory reporting to the Financial regulator (DFSA)

Training employees on Compliance and AML requirements/ developments.

Jul’2017 to Aug 2021 - Al Fardan Exchange (L.L.C) as Senior Compliance Officer

Role:

Onboarding of corporate customers by collecting legal documents as mandated by regulators and internal policy.

Continuous monitoring of the transactions for red flags. If any, conducting Enhanced due diligence (EDD) on customers and escalating to Chief Compliance Officer with supporting information to file STR.

Prepare risk assessment for the new corporate customers and conducting periodic reviews.

Updating the AML CFT manual as per the changes in regulations of CBUAE. Incorporate the same in the operations manual for the front office staffs to comply with the changes

Scrutinizing the trade document of the customers to identity the legitimacy of the trade and its source of funds.

Tracking the vessel and container movements through available sources with provided Trade Documents such as Bill of lading /Airway bill.

Training new joiners and assisting on their day to day operations.

Guiding branches to carry out each transaction to be compliant with regulation and conducting training to CSR’s.

Providing compliance approval for transaction carried out by branches on remittances and foreign currency exchange to release the payments.

Maintain the records of customers as mandated by CBUAE and furnish whilst CBUAE and external audits.

Jul’15 – Jul’17

Societe Generale Global Solution Centre Private Limited, Bangalore as AML Process Executive

Role:

Performing quality checks on the Customer Due Diligence files of MEDIUM and HIGH-RISK corporate clients.

Escalating issues identified to the Compliance team.

Accountable for the work done by cluster members and ensure that they meet their daily targets.

Providing training on the AML policies to the new joiners and refresher training session to the team.

Liaising with business lines and relationship mangers for missing KYC requirements and collect mandatory information as Per the Policy.

PEP screening and adverse media checks on the entity and related parties.

Regularly interacting with Business lines, Relationship managers, AML, legal and data management colleagues.

Handing escalations to the Compliance team to seek guidance on high risk clients and request to waiver or dispensation for missing documents and high-risk clients.

Gathering supporting evidence required to escalate adverse media and developing PEP’s profiles to get PEP sign-off

Jun’12 – Jun’15

The Royal Bank of Scotland, Chennai as AML Process Associate

Role:

Perform CDD for individual and Corporate Clients to meet the regulatory requirements and internal KYC requirements.

Escalating issues to the Head of Compliance

Conduct due diligence on entities / individuals using public domain and database search services. Contact with RM to obtain necessary information about customers and account activity.

Review the client documents and ensure conformity to KYC as mandated in AML Standards.

Screening adverse information of clients using the World- check, Lexis-Nexis, Google and internal watch list.

Conduct review of existing clients within the database to ensure that their documentation is kept Up-to-date.

Review client transactions, conduct initial analysis and identify suspicious activity.

Obtain documentary proof of suspicious transactions and ensure effective record keeping of suspicious transaction identified

Assisted Compliance department with the drafting of Regulatory reports and responses to inquiries by compliance.

NAGARAJAN THANGAVEL CAMS, CGSS

To work in a challenging environment of AML Compliance that will allow full utilization of my abilities.

: adsvoa@r.postjobfree.com : +1-848-***-****

North Brunswick, New Jersey

Self-motivated Problem Solver

Team Player & Fine Researcher

Positive & Flexible Nature

Able to Work under Pressure

Communicator

Proactive with Intrinsic Drive

’15 till date

Contact this candidate