Ravi Thanki

Contribute to achieve organization goal with best efforts and politeness. To perform in the fast paced busy environment and to contribute in the organization’s success with skill I hold.

Head of the KYC, Mutual fund and IPO Department at MARWADI SHARES AND FINANCE LTD (2005 – 2023)

• Spearheaded daily staff meetings to identify improvement strategies, discuss policy updates and facilitate open communication
• Educated operations team on best practices, company policies and service excellence standards.
• Handing the All Mutual Fund Activity Operations Department & Online and Physical Transaction Smooth Process.
• Providing internal training for Mutual fund operations, Software as well as Sales related.
• Taking Seminars for Mutual fund investments for sales promotions in all Saurashtra & Gujarat Region with coordination of Different Mutual fund agencies.
• Updated account information to maintain customer records.
• Ability to coordinate with vendors & internal IT team for version updating/parameter changes as required.
• Ability to coordinate with other relevant departments for ensuring smooth functioning.
• Branch & Ap’s Inspection Monthly basis of compliance rules.
• Manage the host of MIS/Reporting requirement for different internal & external stakeholders.
• Performing the due diligence on new Clients, requesting the KYC information, documentation, review and verification of received documentation and making an analytical risk assessment for new Clients.
• Process entries to open/close clients’ account on our KYC / Related Parties and CDD database, and instruct Client Desk to open/close the accounts on account level in Equation where applicable.
• Perform further investigation on identified suspicious client and client’s transactions and report to KYC/AML compliance officer.
• Monitor the KYC Compliances at Department and Organization level.
• Managing all the KYC department functions which includes Opening, closing, Suspending, reactivation, physical verifications, Storage, Exchange upload functions, MIS, online back office management, customer query.
• The primary responsibility of the KYC specialist Team Lead is to support the day to regulatory standards with high quality and while meeting tight deadlines.
• This includes supporting the Onboarding Manager to manage relationships with a Front Office sub-LOB, prioritize and assign case work for the team, oversee calibration with Quality Control and Utility teams, and serve as the primary point of escalation for team members.
• Day to day management of the Reviews teams, working closely with team leaders.
• Delivering of Excellence for Client Service initiatives.
• Control and risk management.
• Previous experience in KYC, AML area.
• Act as a KYC and AML subject matter expert for KYC due diligence teams.
• Day-to-day office decision made without supervision or review.
• Work closely with the front office and potentially interact directly with client as required.
• Transaction monitoring analysis and document proofing and consequently suspicious activity / transaction monitoring reporting
• Awarded with Directors Special Award
• Awarded with Leader of the Year (Best Bluechiep)
• Got Reorganization for Best selling NFO for TATA, AXIS, SUNDARAM

Chief Manager at Bajaj Financial securities limited (2023-03 – Present)

• Responsible for managing workflow for the team and ensure adherence to department standards. And team handling – managing team of 15 members.
• Providing timely coaching and development opportunities to induvial kyc team member to ensure success in role
• Tracking all the regulatory circulars SEBI, NSE,BSE,KRA,CKYC AND Other kyc relevant circulars and give update and feedback to the compliance office and relevant stockholder.
• Maintain review and publish daily mis to business head and other to highlight rejections pending and repeated issue.
• Having complete understanding of the account opening process for physical and online applications
• Carrying out UAT for system development
• Suggesting various ideas for process improvement
• Internal audit day by day completed.
• KRA Related all process working
• Managing all the KYC department functions which includes Opening, closing, Suspending, reactivation, physical verifications, Storage, Exchange upload functions, MIS, online back office management, customer query.
• Act as a KYC and AML subject matter expert for KYC due diligence teams.
• Perform further investigation on identified suspicious client and client’s transactions and report to KYC/AML compliance officer.(TSS software using)
• Control and risk management..(TSS software using)
• Previous experience in KYC, AML area..(TSS software using)

S.S.C – Lal Bahadur Shashtri School (2000)