Babitha S
Bangalore
Summary
Compliance professional with over eight years of experience in sanctions, wire transfers, and name screening. Demonstrated success in ensuring regulatory compliance and developing effective compliance frameworks. Aiming to enhance compliance measures within a dynamic organization.
Overview
8
8
years of professional experience
Work History
Assistant Manager
EY (Ernst and Young)
01.2025 - Current
- Monitored and analyzed transaction alerts for potential suspicious activity.
- Investigated and flagged high-risk transactions in accordance with regulatory requirements.
- Reviewed and resolved transaction monitoring alerts in real-time to mitigate financial crime.
- Collaborated with compliance teams to ensure timely resolution of alerts.
- Ensured prompt escalation of high-priority alerts in line with bank policies.
Technical Coordinator
Northern Trust Operating Services Pvt. Ltd.
04.2017 - 01.2025
- Adhered to AML regulations, economic and trade sanctions.
- Created, reviewed, and updated SD and DPAD documents.
- Conducted OFAC screening of wires to ensure 100% accuracy and prevent unlawful transactions.
- Reviewed wire transfer payments and SWIFT messages (Trades, FX, payments, confirmation messages).
- Led team to meet process standards and SLA timelines.
- Managed team’s daily activities, allocated tasks, and provided backup support.
- Trained new partners and onboarded them to processes.
- Performed due diligence and validated client identification (including PEPs).
- Conducted extensive internet research for negative news on PEPs.
- Handled escalations and urgent requests, coordinated with multiple business lines.
- Set short-term priorities, ensured accurate and timely work completion.
- Conducted quality checks and second-level reviews to avoid risk or fraud.
- Performer Award: Best performer award for excellence.
- Spot Award: Recognized for service excellence and quality during process transition.
- Excellence in Execution: Appreciated for exceeding performance expectations.
- Fun Committee: Organized team events and engagement activities.
- Volunteer: Active member in CSR committee, participated in many initiatives.
- Process SME: Provided superior support in audit, process improvement, and mentoring.
Education
Bachelor of Commerce -
Maharani Lakshmi Ammanni College for Women (Bangalore University)
Karnataka, India01.2016
Skills
- Business and operations risk assessment
- Conducting audits for regulatory adherence
- Compliance issue identification
- Policy and regulation enforcement
- Risk management development
- Compliance investigations and follow-up
- Strong organizational and communication skills
- Problem-solving and critical thinking
- Assessment and interpretation
- People management and mentoring
Disclaimer
I hereby declare that all the information and particulars furnished above are genuine and true to the best of my knowledge.
Languages
- English
- Tamil
- Telugu
- Kannada
Personal Information
- Date of Birth: 07/11/95
- Gender: Female
Timeline
Assistant Manager
EY (Ernst and Young)
01.2025 - Current
Technical Coordinator
Northern Trust Operating Services Pvt. Ltd.
04.2017 - 01.2025
Bachelor of Commerce -
Maharani Lakshmi Ammanni College for Women (Bangalore University)
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