Ankit Jaiswal

• Identifying deficiencies and inadequacies in process and documentation
• Development of policies and procedures, risk assessments, control frameworks, operating models and optimization of processes.
• Risk consulting as per set standards and keeping a track on industry updates
• Designing and implementing risk strategies to the clientele
• Conducting and coordinating quality and compliance reviews of projects
• Effective handling of assignments on Internal audit, internal financial control, designing of SOPs,
  process audits, enterprise risk management, control assessment
• Discussing and communicating ideas and policies to senior management
• Planning and delegating work for the team and self, based on the requirement
• Contributing in the performance development of identified team members
• Managing the Clientele effectively and being the SPOC for all client related issues
• Closing out on audits independently with minimal supervision and review
• Updating Knowledge on current developments in the Risk, statutory & Quality fraternity

Facilitate workshops to undertake risk and control assessments and maintain relevant documents.
Coaching, training and managing team of 13 KYC analysts.
Validating Documentation requirements - Review of ultimate beneficial ownership documents, formation documents like limited liability agreements, Deed of Partnership, Memorandum of Association and Articles of Association, Bye Laws, board Resolutions.
Conducting transaction monitoring and analysis if required by Law Enforcement agencies.
Customer screening and profiling on platforms like DDIQ.
Conducting extensive research, including studying SMRs and STRs, into the client in order to identify any risk related to money laundering or financing of terrorism and flag them.
Advising on risk and compliance matters and developing processes to mange risk and compliance in line with the risk management framework.
Enhanced team collaboration by providing clear communication of complex findings through visualizations and reports.
Updating clients file for periodic reviews, assess the business activities and source of wealth.

• The Regulatory and Control Operation (RACO) team is accountable for the development, implementation and ongoing leadership of the Group’s financial crime operations shared service.
• Financial Crime Operations leads the Group’s approach to managing Anti-Money Laundering and Counter Terrorism Financing (AML/CTF).
• Assessing and analyzing information and data related to the banks’ High Risk Customers and Politically Exposed Persons (PEP)
• Reviewing information and data to identify money laundering and terrorism financing activity
• Providing advice and educating customers around policy and the banks’ regulatory obligations, as required under Anti-Money Laundering and Counter-Terrorism Financing Laws.
• Perform due diligence to verify customer identities when suspicious activities have been detected
• Fulfilling regulatory requirements on AML and CTF
• Reporting our findings and items of interest to AUSTRAC
• Prompt escalation of issues/risks identified within specified SLAs.
• Provide the required assessment and investigation of events in accordance with agreed Service level Agreements (SLAs) as per Customer Value Proposition (CVP).
• Proactively identifying and driving Continuous Improvement (CI) by using productivity tools to drive increased quality, process simplification or increased efficiency.
• Acting Senior to other teams in KYC space.

• Working within Regulatory and Control Operations team to detect, deter and disrupt Financial Crime.
• Investigate possible unethical conduct or breaches by asking questions in regards to Source of Funds and Wealth. Collecting information from customer (including person and non person customers)
• Review and examine individuals and entities to ensure compliance with governing legislation and regulations like AUSTRC.
• Conducted KYC formality reports on questionable accounts and transactions.
• Document comprehensive evidence to support collection of information from PEP, HRC and other entities.
• Conducted preliminary investigations to confirm violations that occurred and obtained relevant documents and testimony from involved parties.
• Adjusted end-to-end KYC process needs to align with workforce capabilities.
• Identified and researched patterns, trends and anomalies in transactional and customer data to detect and prevent suspicious activity related to money laundering and terrorist financing.
• Took part in various pilot programs (AECV).
• Communicated with various business stateholders to obtain necessary information for investigations.
• Interacted with compliance representatives to assess potential unusual activity.
• Trained new employees and helped them understand SOP

• Maintain and grow relationships with existing clients
• Identify and solicit potential clients
• Assess clients needs, recommend and assist in selection of appropriate goods or services and negotiate prices or other sales term
• Provide input into product design where products must be tailored to suits clients needs
• Develop sales presentations and proposals to illustrate benefits from use of Red energy products
• Prepare and administer sales contracts and maintain customer records
• Develop and maintain technical product and service knowledge to explain features to clients and answer questions about products
• Develop implement and report on sales strategies to achieve business goals
• Assess market conditions and competitors activities and develop an awareness of emerging market and trends
• Ensured adherence to regulations for continued company compliance.
• Use of software like Gentrack, MSATS, Excel and Pdfpit to maintain business records and invoices.
• Recognized in the team for higher conversion rate and exceptional customer experience. Converting higher than the team and floor average on regular basis.

• Delivered exceptional level of service to each customer by listening to concerns and answering questions.
• Helped grow business by retaining residential customers and negotiating and designing products according to customer needs.
• Demonstrated high level of attention to detail and exceptional listening skills to understand concerns and help customers.
• Bridged gap between customers and business by analyzing various details and passing on vital information on weekly basis to senior management.
• Worked closely with compliance team to ensure working within legal parameters.
• Recognized twice for best customer service and also received recognition for being top performer for 3 months continuously.
• Helped other team members by training and coaching on regular basis.
• Analyzed market on regular basis to understand competitors strategy and passing on vital information to direct manager.

• Act as the key point of contact and brand champion for Red's prospective customers to facilitate winning sales outcomes and an exceptional customer experience
• Identify and act on opportunities to leverage the sales preposition by offering new products and services for chosen market segments and customers
• Work within the quality assurances and compliance framework and contribute in building other knowledge and skills to assure quality sales outcomes that meets all compliance and regulatory requirements
• Contribute to a positive and productive working environment by sharing experiences and ideas and building strong relationships with various internal teams
• Capture vital data from customers and provide transparency and accuracy of all sales information throughout the customer lifecycle
• Identified and reported on customers needs which helped in enhancing, developing and differentiating the products and services that could be provided to its customers.

• Created professional sales presentations to effectively demonstrate product features and competitive advantages.
• Developed and delivered engaging sales presentations to convey product benefits.
• Evaluated inventory and delivery needs and optimized strategies to meet customer demands.
• Served as liaison for company, clients and referred prospects regarding inquiries, issues, order management, post-sales follow-up and customer relations.
• Managed,trained and mentored team of sales representatives to help business grow.
• Boosted brand awareness, implemented promotional campaigns and employed sales tactics as part of territory development.

• Performed due diligence to ensure compliance with relevant regulations.
• Worked directly with Finance team and Public Relations team to achieve acquisition of new clients like Afterpay.
• Worked with clients to help create effective financial plans.
• Managed accounts payable and accounts receivables.
• Researched and updated all required materials needed for firm and partners.
• Assisted various business groups with document organization and dissemination during acquisitions.