Neeraj Sharma CAME, Green Belt/Lean Certified/MBA

• Led 25-member team as part of AML/ KYC sanctions engagement for a large global financial services organization
• Manages and directs teams on execution of activities associated with conducting reviews of bank customers, related parties and/or transactions presenting high degree of complexity and risk to determine appropriateness for Genpact
• Managing a team of specialists who investigate Pages, Ads, buyer, and/ or seller transactions on different platforms and take appropriate actions based on processes, tools, and high-judgment decisions
• Supports the implementation of training programs and gathers feedback to determine whether trainings address department findings and organizational need
• Recruits, directs, motivates, and develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team
• Manages a team of AML/KYC/Prevention staff
• Responsible for achievement of function goals
• Ensures team is equipped to operationalized and attain team objectives
• Manages financial resources of the team (budgets, expenses, etc.)
• Responsible for team’s adherence to the critical metrics and business SLA’s and maintaining detailed audit trackable dataset for production and quality
• Responsible for preparing and reporting out team SLAs to management.

• Led 16-member team as part of AML/ KYC Remediation engagement for a large global financial services organization.
• Managed KYC remediation project for a US based bank. This included complete investigation of the existence of the entities and documenting the same as per the banks policies and procedures.
• Monitor and manage the completion of CIP/CDD documentation for all Customers in line with applicable AML Policies & Procedures
• Conducting reviews of transactions/trade surveillance alerts to detect potentially abusive trading activities.
• Lead the AML process in the Financial Crime Compliance space for US region managing a team of FTEs, Consultants in a high-volume, deadline, and production driven environment, all while maintaining 100% accuracy.
• Continues involvement in identifying gaps in Process Flows (SOPs), Review Procedures and work closely with Group Policy & Process Management team to redraft these documents.
• Provide the senior management team with accurate and informative data and reports on current workloads, KYC quality and escalate any issues. Also, monitor the exceptions and ensure that they are resolved in a timely manner.

• Worked in the capacity of a Team Lead for a Global Investment Bank, handled KYC Consultants (Graduate Trainee’s, Analysts and Sr
• Analysts) for various functions within KYC Operations like SDD (Simplified due diligence), CDD (Client Due Diligence) and EDD (Enhanced Due Diligence)
• Act as the Subject Matter Expert for KYC and due diligence and provide guidance to other team members
• Complete investigation of the existence of the entities- Foreign Banks, SPV’s, Hedge Fund, Mutual Fund, Privately Owned Corporate, Non-Profit Organization, Trust, Listed & Regulated, High risk entities (Money Service Business (MSB) OR Gambling Entity) and Government Entities
• Well versed with usage of various AML tools like PCR (Preventive Crime Research), RDC (Regulatory Data Corp), Lexis Nexis, Hoovers, Bloomberg, Bankers Almanac, World-Check, Clear, D&B, Markit, ISDA website and banks internal applications & legacy tools
• Reaching out to the desks like Sanctions, Fraud, Bribery and Anti-Corruption Committee (BACC), and Reputational Risk Review (RRRP) teams

• KYC on foreign entities includes QFI's (Qualified Foreign Investors) - Resident in a country that is a member of Financial Action Task Force or MOU with Securities and Exchange Board of India), Foreign Institutional Investors (FII) and overseas private bankers Clients
• Responsible to perform following operations while processing foreign client request as per Indian KYC guidelines - Opening the Investor Accounts, Administration of the Transactions, Administration of the Holdings and Remittances back to QFI’S in their home currency.

• Effectively identify accounts holders who are related to politically exposed people (PEP). This could include individuals or corporate establishments.
• Conduct enhanced due diligence (EDD) by using the results obtained from internet search.
• Clear and concise narration of the research to describe if the alert is supposed to be closed or escalated.
• Effectively communicate findings on process reviews to business owners after successful approvals from operation risk management (ORM) team & Quality Assurance team.

Client On-Boarding

First line of defense for identifying any Money laundering (ML), Terrorist financing (TF) or Criminal activities.