Assistant Vice President at Barclays Global Service (2021-09 – Present)
Managed a 30-member team of Managers, SMEs, and AML/KYC/Prevention staff, overseeing the preparation and review of client profiles.
- Managed a 30-member team of Managers, SMEs, and AML/KYC/Prevention staff, overseeing the preparation and review of client profiles.
- Developed strong partnerships with senior management through regular communication.
- Identified process and system improvements, providing solutions for senior management.
- Promoted consistent hiring and performance management practices, sharing best practices across the segment.
- Worked towards globally consistent processes and practices.
- Engaged with legal, compliance, credit, and operations teams, reporting on AML/KYC-related KPIs.
- Oversaw AML and reputational risk management, acting as a point of escalation.
- Partnered with stakeholders to design solutions for key KYC change events.
Vice President at BNY Mellon International Operations India Pvt Ltd (2020-12 – 2021-09)
Managed a 15-member team of AML/KYC/Prevention staff, overseeing the preparation and review of client profiles.
- Managed a 15-member team of AML/KYC/Prevention staff, overseeing the preparation and review of client profiles.
- Served as the escalation point for client profile issues, keeping leadership informed of potential concerns.
- Collaborated with internal stakeholders to coordinate AML/KYC/Prevention procedures and policies within the overall compliance strategy.
- Supported the implementation of training programs and gathered feedback to ensure they addressed department findings and organizational needs.
- Recruited, directed, motivated, and developed staff, maximizing their individual contributions, professional growth, and team effectiveness.
Manager at Deutsche Bank Global Services Pvt Ltd (2015-02 – 2020-12)
Supervised a team of 5 personnel, implementing company policies, protocols, work rules, and disciplinary actions.
- Supervised a team of 5 personnel, implementing company policies, protocols, work rules, and disciplinary actions.
- Addressed quality, audit, and compliance issues by communicating effectively with Business Units, Compliance, and global teams, ensuring closure of audit recommendations.
- Evaluated team performance against compliance standards, providing regular feedback and acting as a Subject Matter Expert (SME).
- Assisted Bank management in implementing changes from Quality Assurance reviews or regulatory requirements.
- Conducted assessments using Bank policies, procedures, and tools to meet internal and external regulatory expectations.
- Maintained awareness of financial services regulations, including KYC, MIFID, EMIR, Dodd-Frank, and FINRA.
- Stayed updated on AML/BSA policy changes to ensure proper maintenance of customer documentation.
- Undertook due diligence assignments, including Finders/Consultants, Reputation Risk, and Politically Exposed Persons (PEPs).
- Managed risk by profiling customers and applying due diligence procedures across various jurisdictions.
- Demonstrated effective project management skills with audit and compliance experience, leading internal audit programs and assisting in remediation planning.
Process Associate (Senior Analyst) at Royal Bank of Scotland Business Services Private Limited (RBS) (2012-10 – 2015-01)
Identified and verified customer documents to reduce fraud risk and assessed risks associated with various processes.
- Identified and verified customer documents to reduce fraud risk.
- Assessed risks associated with various processes.
- Ensured compliance with regulatory changes.
- Cross-trained in Transaction Filtering, Transaction Monitoring, and Customer Account Processing Report.
- Prepared Monthly/Daily Management Statistics and Dashboard.
- Understood local and global laws, regulations, and payment processes for AML Operations.
- Identified and verified requirements for different entity types under KYC in Corporate Banking.
- Updated banking products for different entities under the Know Your Business process.
- Conducted enhanced research and investigation of persons and entities using World Check, Acuity, Back Office, and other applications.
- Screened clients against checklists, including those listed by regulators like OFAC, HMT, or PEPs.
Process Associate (Senior Analyst) at HDFC Bank (2011-06 – 2012-04)
Acquired new clients in the specified region/market and maintained excellent relationships with clients.
- Acquire new clients in the specified region / market. Should be able to acquire large number of accounts in terms of quantity and quality.
- Create / maintain excellent relationships with clients and with the specified persons and be able to tailor pitch the product according to their requirements and potential.
