Abhijit Mukherjeee

Financial Crime Leadership: CAMS-certified specialist with 14+ years of experience driving AML risk mitigation, fraud prevention, and regulatory compliance across the APAC region.

Transaction Monitoring & Investigations: Subject Matter Expert in AML transaction monitoring, complex client reviews, and escalation management, with deep expertise in identifying red flags and mitigating financial crime risks.

Regulatory & Audit Governance: Trusted single point of contact for regulatory inspections, external audits, and internal reviews, ensuring adherence to compliance frameworks and strengthening internal controls.

Strategic Due Diligence: Led customer onboarding audits, KYC remediation, ongoing due diligence, and market conduct investigations to enhance risk detection and regulatory readiness.

Global Team Leadership: Built and led high-performing multi-geographical teams across Singapore, India, Japan, Saudi Arabia, and Africa, driving investigations, risk assessment projects with strong engagement, multiple findings and value addition to clients.

Process Transformation: Evaluated policies, alert frameworks, and procedures while spearheading process re-engineering and automation initiatives to improve efficiency and achieve substantial man-hour savings.

Associate Director, Financial Crime Monitoring Specialist for APAC region at UBS AG (2018-01 – Present)

Served as SME for AML Transaction Monitoring within the Global Wealth Management function (APAC division) leading escalation management to the third line of defense for the filing of STR and strengthening risk detection frameworks.

• AML Subject Matter Expertise: Served as SME for AML Transaction Monitoring within the Global Wealth Management function (APAC division) leading escalation management to the third line of defense for the filing of STR and strengthening risk detection frameworks.
• Risk Identification: Specialized in detecting red-flag patterns and potential money laundering activities, enhancing proactive risk mitigation using AI based models.
• Quality Governance: Served as a key quality control resource for a 40-member global team across Singapore, Hong Kong, Taiwan, and Pune, ensuring adherence to testing standards and delivery excellence.
• Client Due Diligence: Developed account review models for complex clients, that streamlined processes and delivered significant efficiency gains.
• Regulatory Governance: Acted as the primary liaison for regulatory inspections, external audits, and internal reviews across APAC, ensuring strong compliance adherence.
• Policy & Controls Evaluation: Assessed the effectiveness of alert rules, policies, procedures, and internal controls while driving process re-engineering and automation initiatives.
• Training & Capability Building: Led training programs on AML typologies, sanctions, case studies from investigations concluded and audit observations to elevate team expertise and compliance awareness.
• Market Conduct Surveillance: Performed monthly reviews of trading alerts to identify potential insider trading by analyzing client trades, market movements, and price-sensitive disclosures.
• Regulatory Investigations: Executed investigations aligned with Securities and Futures Commission (SFC) directives and conducted periodic reviews of onboarding, STR filings, and client behavior to strengthen detection frame work for Insider Trading.

Project Lead at KPMG India Forensic Team (2011-02 – 2017-12)

Directed large-scale investigations, risk assessments, regulatory compliance reviews, and KYC remediation initiatives for Wealth Management and Retail Banking clients across APAC.

• Forensic Program Leadership: Directed large-scale investigations, risk assessments, regulatory compliance reviews, and KYC remediation initiatives for Wealth Management and Retail Banking clients across APAC.
• AML & Fraud SME: Served as Forensic Subject Matter Expert, leading AML due diligence, fraud investigations, audit engagements, and suspect interviews while earning multiple team and individual awards.
• Global Investigations: Led cross-border AML projects across India and APAC, seconded to Singapore, Saudi Arabia, Japan, and Bangladesh, gaining recognition from regulators including the Saudi Arabia Monetary Authority.
• Correspondent Banking Remediation: Executed remediation programs for correspondent banking clients of a major US bank, strengthening compliance and risk controls.
• Anti-Corruption & Fraud Oversight: Spearheaded 10+ high-impact investigations across fraud, bribery, corruption, and process non-compliance, including Foreign Corrupt Practices Act (FCPA) due diligence, and led 20 telecom fraud investigations across Africa, strengthening enterprise risk controls and regulatory compliance.
• Thought Leadership & Risk Advisory: Authored KPMG's point-of-view paper 'The Color of Money – Black or White' and led fraud risk investigations across telecom markets in Africa as Investigation Lead, enhancing AML methodologies and governance practices.

Manager (KPMG Telecom Forensic team) at KPMG India Forensic Team (2011-02 – 2012-12)

Manager role within KPMG Telecom Forensic team.

Associate Director at KPMG India Forensic Team (2013-01 – 2017-12)

Associate Director role within KPMG Forensic Team.

Senior Manager at Tata Teleservices Ltd. (2005-03 – 2011-02)

Executed enterprise-wide internal audits across business units, driving process re-engineering initiatives spanning procurement, fraud management systems, and network usage optimization.

• Internal Audit & Process Transformation: Executed enterprise-wide internal audits across business units, driving process re-engineering initiatives spanning procurement, fraud management systems, and network usage optimization.
• Fraud Risk Management: Led multiple fraud investigations, successfully mitigating handset and device cloning fraud by 95% and strengthening organizational risk controls.
• Regulatory Program Leadership: Delivered critical compliance projects under the President's Office, including Mobile Number Portability (MNP), Procurement process, Inventory management for handsets and earned the Super-Star Award for leading high-impact cross-functional teams.

Assistant Manager - Training and Development at Tata Teleservices Ltd. (2005-03 – 2006-12)

Assistant Manager role focused on Training and Development.

Manager - Operations at Tata Teleservices Ltd. (2007-01 – 2008-12)

Manager role focused on Operations.

Senior Manager - Business process re-engineering & Internal Audit at Tata Teleservices Ltd. (2009-01 – 2011-02)

Senior Manager role focused on Business process re-engineering and Internal Audit.

Sr. Executive, Credit and Collections at Bharti Airtel Limited (2004-01 – 2004-12)

Senior Executive role in Credit and Collections.

Assistant Manager, Retail Assets at HDFC Bank Ltd (2004-01 – 2004-12)

Assistant Manager role in Retail Assets.

Officer, Collections at ABN AMRO Central Enterprise Services (2003-01 – 2003-12)

Officer role in Collections.

Officer - Customer Service Executive at Standard Chartered Bank (2001-01 – 2001-12)

Officer role as Customer Service Executive.

Masters in Business Management in Finance – University of Calcutta (2001)