Agnes Aishwarya

Core Responsibilities

• Conduct thorough quality checks on KYC and CDD files of periodic KYC reviews to ensure adherence to regulatory standards and internal guidelines for European Region.
• Mostly work on Sole Traders, Partnership, Limited Companies, PLC and Charity.
• Checking completeness, accuracy, and consistency of the information provided by the customer.
• Verify customer identification documents, ownership structures, and risk profiles to mitigate potential financial crime risks.
• Assess high-risk accounts and escalate potential red flags for further review.
• Provide feedback and training to analysts to improve the accuracy and efficiency of due diligence processes.
• Maintain up-to-date knowledge of industry regulations and best practices.
• Conduct calibration sessions with the analyst and QA to bring everyone on the same grounds.

Additional Responsibilities

• Case Allocation to the team.
• Maintain change log communicated from the client.
• Create dashboards for quality review calls with clients.
• Provide training and process walkthrough to new joiners and conduct PKT.
• Plan and executions on increasing the FTR (First Time Right) for the analyst.
• Understanding the needs of the client and ensuring the QC team and the analyst are completely aligned.

• Monitor transactions to detect unusual or suspicious activities, ensuring compliance with AML regulations.
• Conduct investigations on flagged transactions and escalate potential financial crimes to relevant authorities.
• Perform Enhanced Due Diligence (EDD) for high-risk clients and assess their risk profiles.
• Prepare and submit report on Suspicious Activity to Suspicious Activity Reports (SARs) team to further escalate to regulatory bodies.
• Collaborate with internal teams (compliance, fraud prevention, risk management) to strengthen AML controls.
• Provide recommendations for improving transaction monitoring systems and rule parameters.

• Transaction monitoring for one of the investment bank in Switzerland.
• PEP and adverse media screening for one of the Fortune 100 financial service, Organisation providing Insurance services.
• Enhanced Due Diligence was performed on entities via CLSearch, Google and Google
  Negative News String search.
• Responsible for adjudicating results of sanctions and politically exposed person screening on clients and performing applicable enhanced due diligence upon identification of positive matches.
• Identify companies and individual who are banned from certain activities or industries with sanction check.