Anuj Gupta

● Monitored transactions, analyzed them in real-time using AML software, and reported suspicious activity to authorities.
● Conduct and oversee exhaustive Enhanced Due Diligence (EDD) investigations on high-risk clients, transactions, and high-net-worth individuals to ensure meticulous risk evaluation and mitigation, aligning with regulatory requirements and industry standards.
● Conducted thorough AML investigations, including assessing customer transactions, analyzing patterns, and identifying potential risks/red flags.
● Regularly held team meetings to share knowledge, address difficulties, and increase participation and collaboration.
● Conducted comprehensive quality checks on the work completed by KYC Analysts within Customer Due Diligence (CDD) / Enhance Due Diligence (EDD) Team.
● Detect, evaluate, and escalate potentially suspicious activities with accuracy and expertise, delivering well-defined and actionable intelligence to stakeholders, and recommending proactive measures to mitigate associated risks.
● Developed and implemented employee development strategies, including training and performance evaluations.
● Daily feedback exchange with the client and give the staff daily input on critical performance metrics, such as attendance and quality.

• Processing the applications received from client for KYC remediation of account opening/reviewing based on the analysis & taking the necessary steps accordingly.
• Review client's database & ensure conformity to KYC & AML standard.
• Periodic review of accounts based on risk level (SDD,CDD & EDD)
• Processing the applications received from client for KYC remediation of account opening/reviewing based on the analysis & taking the necessary steps accordingly.
• KYC Onboarding of high-risk entity [Management Entity (Fund & Investment Managers)].
• Performing the required KYC screenings on customers (Individual & Entities) & documenting the information obtained on the client's as required by global KYC procedures.

• Processing the applications received from client for KYC remediation of account opening/reviewing based on the analysis & taking the necessary steps accordingly.
• Periodic review of accounts based on risk level (SDD, CDD & EDD).
• Processing the applications received from client for KYC remediation of account opening/reviewing based on the analysis & taking the necessary steps accordingly.
• KYC remediation of high-risk entity (MSB, Gambling, Charity, Trust, Foundation, SPV)
• Performing the required KYC screenings on customers (Individual & Entities) based on requirement & documenting the information obtained on the client's folder as required by global KYC procedures.
• Performing sanctioned countries, potential negative news and politically exposed person screenings across global client management divisions.
• Analyzing client data, documentation and negative news in order to determine a client risk profile as established under the KYC procedures.
• Ensure negative news is appropriately documented and any mitigating factors identified & confirm that any escalations are appropriately addressed.
• Additionally, I became a go to person to solve the doubt of new joiners whenever there was need.

AML KYC Checks - Sanctions and Non-Sanctions Screening

• Performed customer due diligence reviews utilizing internal and third party research tools.
• Investigated account holders for negative news and matched against government watch lists.
• Checking and identifying an alert on Bridger (Lexis Nexis) and SBS for relevant information to adjudicate.
• Analyzed transaction activity and customer information associated with identified high-risk clients based on a client's profile.
• Reconciling DeMarket Open data and sending reconciliation report to the client on a daily/weekly basis.
• Identifying all potential PEP, Marijuana, Adverse Media and Special Run alerts in SBS and taking decisions accordingly.
• Screening of an alert as per OFAC, OSFI and FinCen regulatory requirement.
• DeMarket screening to be carried out to help client know about open accounts of a defaulter customer.
• Research carried out by going through all the external sources such as Company Website, Bloomberg, media article etc.