Avinash P

· Prevent money laundering, terrorist financing, and other illegal activities.

· Collect the most accurate data for compliance purposes.

· Develop and implement a streamlined process of KYC and AML data collection, reporting, and tracking.

· Interpreted and applied anti-money laundering regulations to identify and recommend compliance changes as appropriate.

· Conducted due diligence searches in various third-party and internal databases.

· Implemented and maintained appropriate KYC and enhanced due diligence compliance standards.

· Coordinated with internal partners such as Front, Middle, and Back Office staff to obtain required information and applicable documentation related to client on-boarding and KYC production.

· Initiated and completed high-quality KYC files inclusive of data input, research, and analysis.

· Identified data anomalies and assisted with root cause analysis to minimize errors.

· Maintained detailed tracking of KYC file status and other customer record activities to ensure completion within required timeframes.

· Independently managed multiple simultaneous requests inclusive of customer data maintenance in a high-pressure work environment.

· Implemented AML monitoring and transferring system.

· Performed periodic file reviews ensuring activities are reviewed in a holistic manner across the spectrum of products and services used by the customer.

· Ensured CDD is properly performed by the LOBs and EDD is applied in cases where warranted to mitigate AML/TF.

· Analyzed large quantities of information, identifying trending including establishing appropriate metrics to determine changing risk elements.

· Support management in the validation of Management Action Plans designed to address remediation efforts and testing review findings

· Evaluate testing observations to improve policies, procedures, efficiency and controls.

· Track status of corrective action plans

· Expertise in performing extensive research on the client public & paid documents for the clients.

· Performed the required KYC screenings on customer documenting the information obtained on the clients as required by global KYC procedures (RDC Screening, LexisNexis & PCR Preventive Crime Research).

· Worked in periodic review and new client on boarding by conducting due diligence/ performing KYC on the clients for UK, US and Germany booking locations.

· Managed Listed Derivatives desk by closely monitoring all the cases, assigning & getting completed on timely manner.

Worked on internal systems (DBCAR, DBCLM, MDM Tool) to input KYC information of the client.

· dbCAR is a tool which can be considered as golden source of the bank with the capability to capture Client life cycle, trade life cycle, transition monitoring of customers from various business lines across the globe and regulatory compliance of the Bank.

· Took the additional responsibility of taking over the work of quality assurance and being a quality checker to the team.

· Compliance with relevant AML transaction monitoring policies.

· The Bank meets statutory obligations for monitoring client transactions for any potential suspicion and where necessary, reporting suspicious activity.

· Legal Entity Creation, Remediation, act, Modification and refreshing the entity from the database.

· Analyzing and coding the companies based on the industry classification, segment, revenue break up and financial statement.

· As a Know your customer (KYC) team we track legal information about companies with regards to their Official/Trading Names, Incorporation details, Tax Authorities/ Tax file IDs and shareholding structure in the company.

· Worked on IDMS & Signatory application to feed client information.

• Key focus on developing client relationships by offering the entire gamut of corporate finance and investment banking services including mergers and acquisitions, Amalgamation, Shareholding pattern IPO Information and Corporate Restructuring Events
• Providing the latest information to the client on the high-profile companies and Taking responsibility for data quality, accuracy, timeliness, and completeness for Both Internal and External query with the help of Service Cloud
• Investigating & resolving queries related to reference data and third-party vendor data such as Bloomberg, Factiva
• Maintaining hierarchy flow and Subsidiary building of different companies
• Building comprehensive data-set using information extracted out of analysis in conformance with US and Non-US
• History Maintenance, addition of data and quality checks required for validation on the database will be done by using tools like, SQL, Thomson Reuter's tool on daily tasks
• Keeping track of new issues (IPO'S) and listing for updating pricing
• Responsible to review the standard operating procedure periodically & reporting to the manager about suspicious things
• Discussing & sharing the information on the new changes with the policies & procedures of the data operations
• Training the new team members on the existing process, new method of research to ensure the speed of the work and quality at its mark
• Comprehensive knowledge of Thomson Reuters products (Eikon, Data scope (DSS, DSE, DSFI, DSON), TRKD and their functions, features, and usage.