Associate Know Your Client (KYC) Maker - Deutsche Bank AG
(2020-10)
- Periodic review and New Client adoption of KYC files for natural person and non-natural persons to independently assess whether customer or enhanced due diligence, policy and regulatory requirement have been adhered to.
- Understanding of derivative legal documentation (ISDA) and Credit support Annexture with internal and external legal counsel.
- Completing any gaps in Quality Assurance (QA) remediation cases.
- Follow the Know Your Customer, Key Operating Standards for Global and Local adoption requirements.
- Liaising with internal stakeholders and external counterparties during the completion of any case review.
- Escalating cases involving anti-money laundering, gambling politically exposed persons, high risk third countries, virtual currencies and any customer's trading with sanctioned countries to the Anti Financial Crime (AFC) team or relevant team on a case-by-case basis.
- Reviewing and completing EDD/ CDD case files (End-to-End) for Corporate and Investment business. To undertake adverse media, high risk, KYC and sanctions screening using available resources
- Acting as a single point of contact for all queries in the team and preparing, sending Monthly Income Statement (MIS) daily to senior management using Excel.
- Perform weekend testing on dbCLM system to make sure the changes on the system have affected correctly without disrupting the Normal performance of the system.
- Documenting all customers' identification and address verification documents and conducting the screening (Fircosoft, Lexis Nexis and RDC) of main customers and related parties and discounting hits on individuals or companies.
- Ownership structures such as Parent exchange, Cross border relationships, Agents, Guarantors, Private limited companies, Public limited companies, Limited liability companies, Partnerships, FinTech, Government entities, State owned entities, Money service businesses, Collective investment schemes, Private investment vehicles, Foundations, Special purpose vehicles, Charities and Trusts.
- Monitor performance through governance routines Act as the senior point of escalation for complex client or operational issues, collaborating with Sales, Bankers, Compliance, and Line of Business (LOB) COOs to resolve challenges and drive sustainable solutions.
- Anti Money Laundering knowledge experience working with Anti Financial Crime and Business Senior management on Enhanced due diligence cases on periodic reviews.
EMR Operations Analyst - Elexon
(2019-09 - 2020-01)
- New client onboarding, set up and know your customer
- Ensuring credit cover positions (Collateral) are covered by issuing and responding to calls for Contract for Difference (CFD) and Capacity Mechanism (CM) schemes.
- Settling monthly interest on collateral held for CFD scheme
- Daily reconciliation between bank statements and sage (internal system) for purchase and sales ledger
- Processing daily payments, generating reports and invoices
- Building and maintaining relationships with clients and internal stakeholders
- Update Learning Work Practice on a regular basis
- Call back on the client's SSI's (Safe Settlement Instructions) before we update our systems.
Pricing and Position Analyst - Npower UK Ltd
(2014-03 - 2019-05)
- Taken minutes of the meeting where necessary and arranged meetings accordingly
- Implemented project Patagonia which replaced the Microsoft access booking database
- Prepared analysis on top line list in 3 months using market data domain
- Undertook analysis on acquisition sales process to ensure the correct percentage of volume is purchased for each introducer/ channel /product by applying the go live rates for gas and power
- Presented a commercial road show of how a price is made and the factors affecting a price
- Prepared the daily power and gas costs files and updated costs in daily pricing models
- cost stack (commodity and non-commodity charges) using rules of Ofgem regulators
- Preparing the Portfolio Management Information which helps in analyzing how much power and gas we would buy in future
Senior Analyst - Deutsche Bank AG
(2012-07 - 2013-07)
Derivatives Documentation
- Built exceptional proactive relationships with top tier clients to focus on outstanding trades
- Worked on Credit Derivative, Rates and Equity products
- Delivering New Market Initiatives like Dodd Frank and European Market Infrastructure Regulation
- Ensured process documents are up to date, transitioned the ISDA Derivatives documentation process
Team Lead - Deutsche Bank AG
(2010-08 - 2012-06)
Interest Claims
- Managing a team of 4 in Bangalore via the UK Centre
- Resolved complicated claims for sensitive clients via escalations channels
- Worked on maintaining the Reporting for claims team.
- Created monthly risk scorecards, Client, Control, Capacity and Change
- Ensured KOP's (Key operating procedures) and policies are updated and are re-certified in a timely manner (minimum of 6 months to maximum of one year)
- Did User Acceptance testing for enhancing the system along with overseeing the project performance.
- Collected the UAT tests scripts from various regions and coordinated with key stake holders.
- Sending, making and releasing swifts, payments 202 and 299.
Process Supervisor (SME) for Interest claims team - Deutsche Bank Operations International Pvt. Ltd
(2007-08 - 2010-07)
Senior Process Associate for Global Service Accounting Operations - Hewlett Packard Business Process Delivery Organization
(2005-11 - 2007-07)
