ASHIK AZEEZ K
Thrissur
Summary
Seeking a challenging Senior Manager position within Financial Crime Compliance, leveraging 16+ years of experience in Investment Banking, Regulatory Compliance, and Risk Management to drive strategic initiatives and deliver client value. Expertise in KYC, AML, Sanctions, Transaction Monitoring, and Business Risk Management coupled with a proven track record of leading large-scale engagements, optimizing operations, and achieving high-quality outcomes in fast-paced environments. Proven ability to build and manage relationships with stakeholders at all levels. Eager to contribute to a leading organization and drive positive change within the Financial Services industry.
Overview
16
16
years of professional experience
Work History
Manager (Risk & Compliance)
Ernst & Young (EY)
Bangalore
03.2017 - Current
- Manage the Anti-Money Laundering portfolio within Financial Crime Compliance across areas of AML, KYC, Transaction Monitoring, Customer Due Diligence, and Screening.
- Led a team of over 150 members, ensuring that process flows aligned with client business requirements.
- Directed multiple AML engagements within the FCC practice, utilizing Actimize and other client-specific applications for program management and delivery.
- Oversaw business requirement gathering, analysis, and implementation of compliance requirements at partner sites.
- Conducted internal risk and compliance audits, ensuring adherence to business and client-specific regulatory parameters.
- Spearheaded the automation of document uploads in compliance tools for KYC remediation engagements, improving operational efficiency.
- Managed a KYC Client Onboarding and Remediation team, handling Enhanced Due Diligence (EDD), Specialized Due Diligence (SDD), Adverse Media Screening, and Sanctions Checks for high-risk customers.
- Collaborated with senior leadership to drive client engagements, support day-to-day client and project management, and develop high-quality deliverables.
- Established and nurtured strong relationships with client stakeholders, ensuring effective communication and alignment with business goals.
- Led end-to-end project management, ensuring seamless delivery of key milestones.
- Conducted stakeholder management and liaised with onshore and offshore counterparts for smooth project execution.
- Designed and conducted training programs for bank compliance staff on KYC remediation and compliance best practices.
Assistant Manager
Standard Chartered (Scope International Private Limited)
Bangalore
06.2013 - 02.2017
- Supervised a team of 11 members conducting Customer Due Diligence (CDD) checks for New Client Onboarding, Renewals, and Trigger reviews for Financial Institutions and Corporates in the UK region.
- Assisted in mitigating risks related to Money Laundering, Terrorist Financing, and Corruption by performing due diligence on entities across diverse legal structures and business lines.
- Managed daily workloads, ensuring risk-based allocation and effective completion of KYC reviews.
- Collaborated with Relationship Managers (RMs), Front Office, QA, and FCC teams to resolve outstanding profiles and enhance KYC compliance standards.
- Ensured accuracy, completeness, and consistency of client information within the bank’s systems and processes.
- Acted as the Subject Matter Expert (SME) for UK region KYC Onboarding & Remediation, conducting Quality Checks (QC) and ensuring adherence to compliance frameworks.
- Organized training workshops to enhance team performance and fostered a culture focused on reducing errors and achieving zero-quality defects.
- Provided regular performance reports to senior management, highlighting key achievements, challenges, and process improvement initiatives.
- Recognized with the "Icon Award for Value Champ – Courageous" (Q1 2015) for outstanding contributions.
Process Supervisor- KYC
DBOI Global Services Pvt. Ltd
Bangalore
06.2010 - 05.2013
- Led a team of six KYC specialists and successfully migrated the Onshore Requestor role to India.
- Managed the SARAL project, ensuring completion and maintenance of all regulatory KYC documentation in compliance with Singapore & global financial regulations.
- Conducted KYC checks for New Client Adoptions (NCA) and Periodic Reviews across Singapore, Frankfurt, and the UK, covering TFFI, CMFI, and TSS business lines.
- Collaborated with relationship managers to determine required documentation as per KYC guidelines and performed Enhanced Due Diligence (EDD) on high-risk clients.
- Ensured compliance with audit standards by preparing and regularly updating process documentation.
- Recognized for outstanding performance with multiple awards, including Employee of the Quarter, Employee of the Month, Star Performer, and Spot Awards within a three-year tenure.
Analyst - KYC
Wipro Limited
Bangalore
12.2008 - 05.2010
- Conducted KYC reviews and classified UBS clients into High, Medium, and Low risk categories.
- Assessed client relationships to determine their appropriateness for UBS Investment Bank, ensuring compliance with regulatory standards.
- Analyzed client risk profiles and gathered required documentation in line with AMLC guidelines.
- Performed due diligence on UBS client base, ensuring adherence to AML and KYC regulations.
- Managed document collection and uploads into client tools, maintaining accuracy and compliance.
- Conducted Quality Checks (QC) on KYC reviews across all risk levels to ensure compliance and procedural accuracy.
Education
MBA - Finance
OHIO University Christ College Academy for Management
Bangalore05.2008
Bachelor of Commerce - Finance
St. Aloysius College
Thrissur05.2005
Higher Secondary School Education - 12th Standard
S.N Vidya Bhavan Senior Secondary School
Thrissur05.2002
Skills
- KYC - Client Onboarding and Remediation
- Sanctions
- Screening
- Transaction monitoring
- Client Outreach Specialist
- Performance evaluations
- Investment Banking Regulations
- Risk Assessment Frameworks
- Stakeholder Management
- Performance management
- Recruiting and interviewing
Languages
- English
- Malayalam
- Tamil
- Hindi
Hobbies and Interests
- Sports (Cricket, Football & Basketball)
- Travelling
- Searching internet for AML related topics
Certifications & Professional Qualifications
- Certified Anti-Money Laundering Specialist – ACAMS
- Certified by International Compliance Association (ICA)
Specialized in Anti-Money Laundering (AML) Officer – Customer Due Diligence (Affiliated with Manchester University)
ICA Specialist Certification in Money Laundering Risk in Correspondent Banking - Certified Professional Accountant – ISO 9001:2000 Certified Institution
Expertise in Tally 7.2, Tally 9, and PeachTree Accounting Software (Scored 95%)
Key Achievements
- US B1/B2 Visa Holder.
- Played a pivotal role in setting up the Resiliency Model in DBOI Jaipur (07/2012) to enhance business continuity planning.
- Led process automation initiatives for KYC documentation and data quality checks, significantly reducing manual errors and improving operational efficiency.
- Designed and executed training programs for compliance teams, enhancing expertise in KYC screening, risk assessment, and AML regulations across multiple jurisdictions.
- Spearheaded quality improvement initiatives, ensuring 100% adherence to regulatory, legal, and audit requirements in KYC onboarding, refresh, and due diligence processes.
- Acted as a Trainer for Client Onboarding – New Client Adoption, mentoring teams on best practices in KYC, CDD, and AML compliance.
Timeline
Manager (Risk & Compliance)
Ernst & Young (EY)
03.2017 - Current
Assistant Manager
Standard Chartered (Scope International Private Limited)
06.2013 - 02.2017
Process Supervisor- KYC
DBOI Global Services Pvt. Ltd
06.2010 - 05.2013
Analyst - KYC
Wipro Limited
12.2008 - 05.2010
MBA - Finance
OHIO University Christ College Academy for Management
Bachelor of Commerce - Finance
St. Aloysius College
Higher Secondary School Education - 12th Standard
S.N Vidya Bhavan Senior Secondary School
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