Summary
Overview
Work History
Education
Skills
LANGUAGE
Certification
Personal Information
Timeline
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ASHISH PRADHAN

ASHISH PRADHAN

Sarjapur, Bangalore

Summary

A focused professional with 16 years of work experience in investment banking and financial crime expertise in client onboarding, anti-money laundering, renewal/refresh, periodic review, remediation, offboarding, reference data, data migration, transaction monitoring, look-back reviews, and risk management.

Highly skilled in managing & leading large teams for successful process operations. Evolved training roadmaps for new recruits; established processes, formulated SOPs and SLAs; and built an efficient team

Overview

16
16
years of professional experience
1
1
Certification

Work History

Project Delivery Manager

ERNST & YOUNG(E&Y)
Kolkata
03.2024 - Current
  • Provided guidance and support to team members in order to meet project objectives.
  • Supported the successful onboarding and ongoing management of corporate customers in collaboration with different APAC LOBs.

  • Generated weekly and monthly reports summarizing progress achieved against key milestones and targets set out in the original plan.

Transaction Monitoring Manager (MLRO)

AL ANSARI FINANCIAL SERVICES
Dubai
04.2023 - 03.2024
  • Lead and Manage the Transaction Monitoring department and monitor their progress as per the defined KPI's and regulatory requirements
  • Prepare, review and monitor the AML/Transaction Monitoring related policies and procedures; conduct typologies assessments covering the aspects of real-time monitoring of transaction to mitigate TBML/proliferation risks; undertake gap analysis on policies and procedures with regulatory guidelines and practices; and ensure to update the manuals accordingly
  • Review and verify Suspicious Transactions reports and submit the same to HoD and, further, to Financial Intelligence Unit, CBUAE
  • Demonstrate and ensure full compliance with AML manuals, relevant policies and procedures while undertaking the duties and responsibilities
  • Handle queries received from the following entities: the Central bank of UAE, Dubai police, and correspondent banks with respect to Remittance.

Compliance Manager

ERNST & YOUNG (E&Y)
Bengaluru
03.2017 - 04.2023
  • Managed a Quality Control (QC) team of over 40+ resources, ensuring rigorous verification of CIP, CDD, transaction monitoring, customer screening, and EDD components
  • As a subject matter expert, I ensure strict adherence to relevant legislation, regulations, and compliance guidelines
  • Supervised a team of 20 onshore resources in Dubai and Abu Dhabi to execute KYC remediation, ensuring successful data enrichment and effective resolution for low- to moderate-risk customers from various backgrounds
  • Guided KYC remediation initiatives with a strong emphasis on Client Identification Program (CIP), Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), customer screening, and successful project management
  • Fostered strong collaboration with key stakeholders such as Legal, Compliance, Credit, and Operations, facilitating issue resolution and ensuring seamless workflow

Team Lead

J P Morgan Chase
Bangalore
10.2014 - 03.2017
  • Provide KYC support, remediation of old Customer and Daily Interaction with Business, Sales, Operations and KYC Compliance teams
  • Part of KYC Remediation Project for EMEA/APAC region and done QC for Clients like Corporate, NBFI, banks, etc
  • Ensured accurate identification and verification of clients' legal status while determining risk classifications based on factors including business nature, operating location, politically sensitive personnel, UBOs, etc.
  • Possessing extensive knowledge of Ownership drilldown for Parent, Ultimate Parent, UBO's, and Fund Linkage
  • And external Web sites like Bloomberg, Secretary of States, Company House, Company Registries, etc.

Process Supervisor

DEUTSCHE BANK
Jaipur
07.2013 - 10.2014
  • Worked as Quality Assurance Lead in CAG team for Global Corporate Clients like- (High, Medium and Low) with a focus on regulatory compliance in prevention of money laundering and terrorist financing Activities
  • Conduct Enhanced due diligence (EDD) for High-Risk Industries, High Risk Countries, OFAC sanctions, Embargoes, PEP, UBO and Controlling Person.

Associate

BRITISH TELECOM (BT)
Gurgaon
02.2012 - 03.2013
  • Responsible for ensuring product compliance with regulatory requirements for product safety
  • Develop and implement risk management strategies to improve overall compliance of BT Global
  • Manage contractors providing Risk Management & Compliance support for key initiatives and projects
  • Handled Different UK Enterprises Contracts like Royal Mail, Sainsbury's, NHS etc as per telecom Regulatory (Ofcom)
  • Negotiations with vendor, Making Proposal, and CAF for clients as per contract agreement.

Sr Team Member

BANK of AMERICA
Gurgaon
02.2008 - 01.2012
  • Worked in Anti Money Laundering (Monitoring) and Customer Identification Programs (CIP) profile for Bank of America RA/NRA US Customers as per Anti-money laundering and USA Patriot Act Guidelines to prevent financing of terrorist operations money laundering
  • Process is to make customer complied under guidelines issued by internal / external regulator and KYC
  • Verify every customer as per FINRA Guidelines based on Credit Score and financial history
  • Worked with Account Opening Team for US retail Customers for Saving, Checking, Certificate of Deposit (CD) and Fund Transfer from new or Existing Account.

Education

MBA (Finance) -

Jaipur National University

Graduation -

Manipal University

HSC (12th) -

C.B.S.E Board

SSC (10th) -

I.C.S.E Board

Skills

Know Your Customer

Stakeholder & People Management

AML Transaction Monitoring

OFAC Sanctions & Embargoes

PEP and Negative News Screening

Suspicious activity report (SAR)

Renewal/Refresh, Periodic Review and Remediation

LANGUAGE

English and Hindi

Certification

  • Certified Anti-Money Laundering Specialist (CAMS)
  • Six Sigma Black Belt Certification from PMI
  • Compliance Program Certification from Coursera (University of Pennsylvania)

Personal Information

  • Passport Details: P5301932 (Expiry, Oct-2026)
  • Date of Birth: 08/06/86
  • Nationality: Indian

Timeline

Project Delivery Manager

ERNST & YOUNG(E&Y)
03.2024 - Current

Transaction Monitoring Manager (MLRO)

AL ANSARI FINANCIAL SERVICES
04.2023 - 03.2024

Compliance Manager

ERNST & YOUNG (E&Y)
03.2017 - 04.2023

Team Lead

J P Morgan Chase
10.2014 - 03.2017

Process Supervisor

DEUTSCHE BANK
07.2013 - 10.2014

Associate

BRITISH TELECOM (BT)
02.2012 - 03.2013

Sr Team Member

BANK of AMERICA
02.2008 - 01.2012

MBA (Finance) -

Jaipur National University

Graduation -

Manipal University

HSC (12th) -

C.B.S.E Board

SSC (10th) -

I.C.S.E Board

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ASHISH PRADHAN