Dany K
Summary
Experienced Specialist in Anti-Money Laundering (AML), Sanctions, and Fraud with a strong background in Investigations, Transaction Monitoring, Client Screening, List Management, Regulatory Reporting, Card Fraud Analytics, and Fraud Prevention & Detection. Proficient in utilizing leading AML and Sanctions software tools such as Mantas, Actimize, FircoSoft, and Norkom across multiple departments including Operations, Testing, Technology, and Quality Assurance. Adept at leveraging comprehensive knowledge and expertise to ensure compliance, enhance risk mitigation strategies, and drive operational excellence.
Overview
15
15
years of professional experience
1
1
Certification
Work History
FCC Delivery Manager
Standard Chartered (Optimum Solutions Pte Ltd)
09.2017 - 12.2019
- Successfully delivered projects within the Financial Crime & Compliance (FCC) domain, focusing on List Management, Name Screening, and Transaction Screening.
- Provided regular progress updates, risk assessments, issue identification, and proposed mitigations to Senior Management as part of the Financial Crime Risk Mitigation Program.
- Ensured compliance with documentation requirements and maintained effective governance by closely collaborating with the Operations Risk Assurance Team (ORA) and Group Internal Audit (GIA).
- Facilitated project-related forums, including Project Work Group meetings and Project Steering Committees, actively contributing to decision-making and guiding project/change deliveries towards targeted goals.
- Implemented an automated process for Reference File Management in List Management, minimizing the risk of human error and enabling seamless integration with screening filters such as Global Name Screening (GNS) and Transaction Screening as a Service (TSaaS).
- Engaged with diverse stakeholders, including Business teams (List Product Management, Firco Product Management, Country Compliance Teams), Operations Teams (List Data Management, Surveillance Parameters Optimization and Tuning team), Global Test Management (SIT & UAT), and Technology Teams.
- Collaborated with cross-functional project teams to conduct impact assessments and ensure smooth transitions during project delivery.
- Assisted the SPOT team in meeting regulatory requirements by migrating Reference Lists to VERITAS, consolidating List Management into a single repository.
- Enhanced list management efficiency by implementing duplicate checks of internal lists against external lists provided by external vendors.
- Worked closely with business teams to gather requirements, collaborating with technology teams to assess projected costs and prioritize deliveries based on criticality.
Compliance Project Delivery Manager
BNP Paribas (Mphasis Pte Ltd)
05.2015 - 11.2016
- Conducted comprehensive requirements gathering through various methods, including interviews, document analysis, requirement workshops, surveys, site visits, business process descriptions, scenarios, business analysis, test cases, and workflow analysis across 11 regions, encompassing 5 in Asia (SG, HK, IN, CN & TW) and 6 in Europe (CH, FR, BH, MO, JE & UK).
- Developed a robust Anti-Money Laundering (AML) solution by assimilating local regulatory and operational requirements, standardizing the AML blocking mechanism, and providing global solutions across multiple Market applications, including Olympic, AAA, PEARL, Calypso, Impressio (EuCliD), Amefico (ICE), and Kondor+.
- Acted as a key liaison between diverse customer communities, such as Client Management, Front Office, Advisory Desk, Relationship Managers, Marketing Associates, Back Office, Compliance, and technology teams. Conducted gap analysis, pre-studies, and translated requirements into Global Sanction Solutions, integrating transaction systems, and normalizing platforms across regions.
- Presented a Proof of Concept for standardizing Sanction solutions to various stakeholders, including Country, Regional, and Group Sanctions Teams. Successfully obtained approval from sponsors to execute the standardized approach across the Group.
- Managed the seamless migration of Transaction Screening and Name Screening tools from in-house built site-specific applications to a Single Group Tool - FircoSoft.
- Effectively communicated and collaborated with external and internal stakeholders to analyze information needs and functional requirements. Delivered key documents, including Business Requirements Document, Functional Requirements Document, Use Cases, and Interface designs.
- Coordinated Service Line Agreements for Outsourcing requirements, working closely with legal, regulatory, and compliance teams. Assisted independent assessors in preparing regulatory submissions to HKMA and MAS for data migration.
- Ensured on-schedule project delivery by collaborating with developers and subject matter experts, establishing the technical vision, and analyzing trade-offs between usability and performance requirements.
Compliance Technology Project Manager
Citibank NA (Emerio GlobeSoft Pte Ltd)
11.2011 - 04.2015
- Managed and executed projects within the Transaction Monitoring domain, overseeing all phases of the project lifecycle, from conception to post-production support.
- Conducted periodic reviews of Anti-Money Laundering (AML) Scenarios' threshold sets, optimizing alert review by the operations team and minimizing the need for additional staff.
- Implemented new scenarios aligned with regulatory requirements, trend analysis, and pattern-based analysis to enhance the system's effectiveness.
- Developed and implemented a Quality Assurance Hybrid Tool to automate and enhance the quality assurance process for alerts closed in Mantas.
- Conducted feasibility studies, gathered business requirements, performed impact and gap analysis, and translated them into comprehensive functional specifications for project execution.
- Reviewed and validated test cases prepared by the System Integrated Testing (SIT) Team and actively supported User Acceptance Testing (UAT) to ensure timely and successful completion of testing activities.
- Led the delivery of detailed analysis, design, and build processes, driving operational efficiency enhancements.
- Maintained regular communication and collaboration with stakeholders, including Compliance, Operations, and Technology, through meetings, status updates, risk and issue reporting, and effective engagement with internal teams such as infrastructure, development, solutions, and support.
- Proactively facilitated Internal and External Audit requirements and supported the Project Management Office (PMO) in maintaining a repository of documents, templates, and important communications.
- Created comprehensive business requirements documentation in adherence to Software Development Life Cycle (SDLC) processes and Change Management principles.
- Conducted in-depth fact-finding discussions with stakeholders to analyze local regulatory reporting solutions and assisted countries in identifying and addressing potential gaps.
- Assisted in System Integrated Testing and User Acceptance Testing, including issue resolution and retesting, to ensure timely sign-off within established timelines.
Royal Bank of Scotland (f.k.a ABN AMRO)
AML Analyst
Chennai, Tamil Nadu
09.2008 - 11.2011
- Proactively monitors transactions to identify patterns indicating potential money laundering risk, taking prompt and appropriate action to mitigate it.
- Prepares and files Suspicious Activity Reports to the Money Laundering Reporting Officer, initiating thorough risk reviews for clients generating alerts.
- Ensures the effective implementation of Global Sanctions Lists, Country Compliance Lists, and Internal Lists across the organization, maintaining a centralized repository of sanctions lists, including OFAC, EU, and HMT, utilizing the FircoSoft Tool for List Management.
- Identifies data points causing false positive alerts in Transaction Screening and develops rules to reduce them, optimizing operational efficiency.
- Oversees the management of the Good Guys List, conducting Impact Assessments, suppressing false alerts, increasing the detection of true hits, and ensuring compliance officers deliver high-quality alert analysis.
- Facilitates regular meetings, discussions, and brainstorming sessions with execution teams to enhance process quality and efficiency.
- Conducts error-based refresher trainings periodically, collaborating closely with the Risk & Controls Team to identify internal process risks, gaps, and assist with implementing appropriate controls.
- Actively contributes to process improvement initiatives, such as cross-training between teams to provide support during high alert volumes.
Fraud Analyst
HSBC
Visakhapatnam, Andhra Pradesh
05.2005 - 09.2008
- Verified customers' transactions on debit and credit cards, ensuring the authenticity and legitimacy of the bank's products and services.
- Assisted Customer Care in promptly handling fraud cases, coordinating card cancellations, and collaborating with the Reconciliation and Chargeback team for resolution.
- Developed and implemented a robust CNP (Card-Not-Present) fraud management strategy, incorporating CNP Fraud Management Product, Policy Frameworks, Operations Services, and Analytics to effectively address fraud issues.
- Strengthened compliance programs to proactively detect and prevent fraud across various channels, including E-Commerce, Cyber, Online Card Transactions, and Point of Sale (POS).
- Conducted in-depth investigations into card fraud cases, utilizing system checks, thresholds, and simulated scenarios to identify suspicious attributes and patterns.
- Conducted thorough assessments of organizational factors contributing to fraud risks, identifying areas for improvement and implementing targeted solutions.
- Collaborated with the Risk Management and Compliance teams to minimize operational losses, mitigate risks associated with money laundering activities, and analyze fraudulent transactions.
Education
Bachelor of Arts - Economics
Kalinga University
Raipur, Chhattisgarh, India 01.2004 - 2005.02
Skills
Project Management
undefinedCertification
Certified Cryptocurrency Investigator by Blockchain Intelligence Group (BIG)
Timeline
Certified Cryptocurrency Investigator by Blockchain Intelligence Group (BIG)
09-2022
FCC Delivery Manager
Standard Chartered (Optimum Solutions Pte Ltd)
09.2017 - 12.2019
Compliance Project Delivery Manager
BNP Paribas (Mphasis Pte Ltd)
05.2015 - 11.2016
Compliance Technology Project Manager
Citibank NA (Emerio GlobeSoft Pte Ltd)
11.2011 - 04.2015
Royal Bank of Scotland (f.k.a ABN AMRO)
AML Analyst
09.2008 - 11.2011
Fraud Analyst
HSBC
05.2005 - 09.2008
Bachelor of Arts - Economics
Kalinga University
01.2004 - 2005.02
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