Operation Manager- AWM & RVS - Ameriprise Financial
(2015-10 - 2026-03)
Project Enfield- Successfully transitioned 9 critical processes from Minneapolis to India, seamlessly integrating a team of 49 associates. Supervise a team of two Managers, one Group Leader, and 56 associates. Lead a FINRA Series 6 and 63-certified team, overseeing clearing operations for Ameriprise Financial to ensure seamless trade execution, compliance, and regulatory adherence.
- Manage a team of analysts responsible for onboarding reviews, periodic reviews, and transaction monitoring.
- Conduct risk-based due diligence and enhanced due diligence investigations for high-risk customers.
- Review suspicious transactions and prepare SAR/STR filings where required.
- Develop and implement AML compliance policies, procedures, and internal controls.
- Coordinate with auditors, regulators, and senior stakeholders during compliance reviews and audits.
- Monitor regulatory changes and ensure timely implementation across operational processes.
- Deliver training programs on AML/KYC compliance and financial crime prevention.
- Awarded chairman's award owing to immense contribution to the e-MMS bank conversion project.
- Improved operational accuracy by reducing payment discrepancies by 15% and incorrect EDD escalations by 17% through refined reconciliation and risk assessment practices.
- Demonstrated a strong culture of innovation and excellence by driving Lean and Innovation initiatives within the Business Group over multiple years, contributing to the achievement of 9 'Ideshare Traveling Trophies'.
- 1 idea was shortlisted among the top 6 globally at a Shark Tank-style event during the Ameriprise India Ideathon and presented to the ILT in the final round.
- Partnered with business colleagues to streamline trade correction processes, reducing the overall SLA from 3 days to 2 days, thereby accelerating request completion and enhancing the Client/Advisor experience.
- To foster engagement while reinforcing Lean practices in a hybrid work model, collaborated with Senior Leaders to organize the 'Listen to Lead' huddle contest twice for all 58 teams across the AWM & RVS business units.
Team Leader - Service and Operations - Bank of America
(2007-06 - 2015-09)
Lead and supervise a team of 17 associates, managing operational deliverables across various processes. During tenure, successfully led multiple processes, including Consumer Accounts, Credit Cards, Small Business, Quality Assurance, KYC, and AML.
- Performance and Delivery Management: Ensure delivery on KPIs and compliance with SLAs defined by the Line of Business.
- Audit and approve high-value transactions/refunds in accordance with established processes, ensuring adherence to cut-off times.
- Prioritize and assign casework for the team, oversee calibration with Quality Control and Utility teams, and serve as the primary point of escalation for team members.
- Regularly evaluate due diligence commentary authored by staff to ensure a comprehensive analysis and assessment of client-level AML/reputational risk and provide sound recommendations to the client coverage team.
- Track and analyse segment/group quality control issues related to client due diligence, provide guidance for resolution, and escalate as appropriate.
- Led 3 Green Belt projects aimed at improving automation and enhancing operational efficiency.
- Participated in an international project to set up a new site in Manila, Philippines, for two months, working closely with leadership on training, performance, and establishing the Quality team.
