KYC Analyst

NISHANT BHATTARAI

Career Placement Goal: Working in a highly competitive environment in the finance industry related to banking, investment, securities and financial instruments.

Education

Master of Business Administration 08/04- 08/07

Indiana University of Pennsylvania (IUP), Indiana, PA

Major: Marketing & Finance GPA:3.81/4.0

Full fellowship for the Masters program

Bachelor of Business Administration 08/01-07/04

Kathmandu College of Management (KCM),

Affiliated to Kathmandu University, Kathmandu, Nepal

Work Experience

UBS, Stamford, CT 08/07- 12/07

AML Project

KYC Analyst

 Perform customer/client analyst functions pertaining to the Sarbanes-Oxley Act of 2002 & US Patriot Act of 2001.

 Member of a team of analysts reviewing accounts to internal “Know Your

Client” Anti Money Laundering standards.

 Perform due diligence on investment advisors and their underlying funds

 Reviewing and approving client account opening files involving low risks,

medium risks and some of the high risks including hedge funds clients and

Special Purpose Vehicles (SPV)

 Reviewing manual and exceptions to Customer Identification Program (CIP)

and recommending approval or rejection to Client Onboarders.

 Responsible for analyzing series of transactions within the context of the

business to determine their business validity.

 Extensive use of UBS internal software such as AW, Master Files and RKYC

DocStore for reviewing accounts for AMLC approval as well as external sources such as BankersAlmanac, DnB, LexisNexis, Autotrack & Bloomberg.

UBS, Stamford, CT 01/08-Present

AML Project

Team Leader, KYC Analyst, KYC Approver

 Perform customer/client analyst functions and overlook and supervise a team of KYC analysts overlooking Country Specific Requirements

 Train and supervise new recruits and perform due diligence on investment advisors and their underlying funds

 Perform a supervisory review of ongoing projects and direct analysts over required AML and Client Identification changes and modifications

 Perform as a KYC analysts as well as a KYC approver to perform due diligence on clients to meet AML standards

Mid Atlantic Addiction Training Institute (MAATI), Indiana, PA 08/05- 05/07

Research Assistant

 Assisted in providing research methodologies for a US Government Grant for Supplemental Mental Health Treatment for Batterer Program Participants

 Performed routine audit on the database and evaluated errors

 Used statistical and analytical models for analysis and evaluation of respondents

First Franklin Financial Corporation, Calverton, MD 04/05-08/05

Loan Application Manager

 Managed incoming loan applications

 Updated client portfolio

 Managed relevant documents pertinent to legal compliance

 Made cold calls to prospective brokers and updated Account Executives

Western Union Money Transfer (CG/FINCO), Kathmandu, Nepal 09/01-04/04

Financial & Marketing Executive

 Managed and controlled the overall marketing campaign

 Provided assistance in business development and expansion

 Designed and managed necessary RFP’s

 Managed and monitored merchandise cost and distribution

 Planned and monitored the financial portfolio

 Managed, Analyzed and controlled marketing and advertising cost

 Performed constant consumer research and provide detail market reports

Internships

Indiana Regional Medical Center, Indiana, PA 05/07- Present

Quality Management Intern

 Provided assistance in quality management research

 Provided support in in-depth analysis of quality research

Nabil Bank Limited, Kathmandu, Nepal 05/04-07/04

Internship- Management Trainee

Undertake regular banking activities

Report- Performed a detail research over special saving schemes in the Commercial Banks

NeutronUSA Inc, State College, Pennsylvania 05/06-08/06

Internship- Customer Service Specialist

Monitored and regulated marketing and sales activities and also provide assistance in creating presentations, displays, brochures and other marketing information, and coordinating and managing participation in conferences, trade shows, and other events.

Report- Performed a research over the competitiveness of the company in the industry to recommend further opportunities for growth and expansion through market segmentation.

Honors and Achievements

First Place, Eberly College of Business Case Competition on Global Auto Competitiveness

Noted, Dean’s List (Fall 2005), Indiana University of PA, Indiana, PA

Member, Student Council, Kathmandu College of Management, Kathmandu, Nepal.

Skills and Knowledge

Computer skills- MS Office, Basic Hardware and Software operations, Multimedia, Web Designing, Basic knowledge of C++, Google Adwords, Photoshop, Adobe Acrobat, SQL, Oracle, RDBMS

Research skills- Highly proficient in SPSS, Questionnaire Design and Research Methodologies and Analytical Skills

Interests

Financial Instruments, Investment, Marketing & Sales

Major Research Projects Completed

Analysis of Special Saving Schemes in Major Commercial Banks in Nepal and a detail research on customer satisfaction of a saving scheme in Nabil Bank Limited, Nepal.

Strategic Management and Business Policy variations in organizations

A study of the strategic planning and control aspect of Blockbuster and Netflix

Market Research over market, industry and consumer behavior

A detail research on the market of movie rental industry

An approach to New Product Design & Development

A practical approach to creating & designing a new product through creativity & innovation in the market with relevant research, cost-benefit analysis and marketing

Global Auto Industry Competitive Analysis- Eberly College of Business Case Competition

A through research on global automobile industry and their competitive structure with an emphasis on their future prognosis

References

Available Upon Request

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