ANAND S

• Performed due diligence for low and medium-risk retail clients.
• Evaluated Customer Due Diligence (CDD) records and addressed any discrepancies identified during the process.
• Enhanced outreach efforts to address missing CIP (Customer Identification Program) details in clients' KYC records.
• Assessed Negative News and PEP (Politically Exposed Person) screening hits, mitigating them according to global guidelines.
• Participated in QC calibration calls to discuss error trends and implement recommendations to minimize recurring issues.
• Took on the acting Manager role for one week to develop and strengthen leadership skills.
• Led team huddles during managerial tenure to address high-aging work items and error trends.
• Conducted sample Root Cause Analysis (RCA) for a case to enhance quality standards and improve time management.

04-15-2024 | Workforce Management
Role: Assistant Manager

• Supported day-to-day workforce management operations and team coordination.
• Assisted in planning and allocating resources to meet business requirements efficiently.
• Collaborated with team leads to track performance metrics and optimize staffing levels.
• Contributed to scheduling, forecasting, and real-time adherence monitoring.
• Provided leadership support and addressed operational challenges to ensure smooth workflow.
• Facilitated communication between management and team members to align with organizational goals

• Conducted periodic reviews for low, medium, and high-risk commercial clients.
• Completed end-to-end KYC processes for clients based in France, the UK, and the US.
• Demonstrated strong knowledge of various corporate entity types.
• Performed sanctions checks during client onboarding and periodic reviews.
• Ensured timely client onboarding and periodic reviews with no SLA breaches.
• Acted in a Level 2 Quality Assurance role, verifying all compliance requirements were met before final approval.
• Engaged with Relationship Managers and stakeholders on a weekly/monthly basis to support timely periodic reviews.
• Identified UBOs (Ultimate Beneficial Owners) across various risk levels and escalated high-risk cases to compliance for approval, preventing regulatory breaches.
• Conducted Quality Assurance (QA) calls across India and France, sharing best practice recommendations.

• Served as one of 10 Subject Matter Experts (SMEs) among a team of 200 analysts.
• Conducted training sessions for new joiners, covering process workflows and addressing operational challenges.
• Analyzed large entities and escalated cases for blanket approval to enable entity screening.
• Monitored and processed transactions involving high net worth entities.
• Performed World-Check screenings for both corporate and individual clients to support customer risk mitigation.
• Identified ownership structures and collected relevant documentation for corporate clients.

• Identified Politically Exposed Persons (PEPs) and Special Purpose Funds (SPFs), raising red flags to the compliance team for further approval.
• Reviewed all Anti-Money Laundering (AML) and Know Your Customer (KYC) regulatory requirements across client profiles.
• Analyzed beneficial owners whose profiles appeared unusual or inconsistent with the customer's background.
• Conducted public domain searches to uncover entity roles and detect any adverse or suspicious information.
• Identified sanction nexus involving corporate entities to ensure adherence to regulatory obligations.
• Recognized as Best Employee for six months during the years 2016 and 2018.