DEEPAK KUMAR SHAH

My role includes supporting business as a Individual Contributor for Quality Assurance team under the Second Line of Defense.

• Roles & responsibilities includes analyzing post close reviews actioned by L1/ L2/L2R & L3 analyst in an accurate & timely manner.
• Day-to-day activity includes monitoring how well the first line’s activities are mitigating risk, as well as advising the first line on risks it may be overlooking by reviewing their post-closed completed cases for different process, which includes Sanctions Screening, New Customer Onboarding from Sanctioned Country, Account Screening, BSA Hotlist (No Re-entry List), Entity Word Combo (EWC), and Below the Line (BTL).
• Perform investigation carefully on due diligence done by LOB for onboarding and existing clients from Sanctioned country.
• Review decision taken by analyst i.e. whether the disposition was accurate & disposition comment were documented accurately & decision was taken correctly.
• Perform detailed investigation on action taken by first line on potential sanctions, AML, internal matches etc.
• In the event of serious regulatory breaches ensure senior management are informed & action are taken quickly to remediate.
• Ensuring adherence to global, banking guidelines & local regulatory requirements including OFAC, UN, EU, UKHMT, HKMA etc.
• Conducted clarification sessions for operations team.
• Conducted presentation on preceding month overall team performance, focus area & highlights & recap of any recent updates.
• Proactively connect with relevant stakeholders across CDDG to resolve challenges.
• Proficient in tools such as LexisNexis, Dow Jones, Fircosoft, Siebel, ISS, Gsmos, ICMP, PIT tool, and Lloyd's.

• Operating as a first line of defense controls to detect and mitigate financial crime risk.
• Responsible for reviewing and investigating transactions which have been identified as containing potential matches against OFAC, UN EU, UKHMT, HKMA Sdn list.
• Review all SWIFT messages referred for manual review in all queues including Strip queues.
• Work on all levels such as L1, L2 & L2R.
• Send out an RFI incase of potential/true matches internally/ to other banks and review RFI responses and take action positively or escalate to L3 COE.
• Proficient in tools such as Clear, World Check, GPI, GPS, GMSS etc
• Provide training support to new staffs, cross-training staffs, and conduct clarification sessions within team.
• Identify repetitive false hits and send a tuning request.
• Ability to meet own production and quality targets consistently and also assist in guiding team members to meet production and quality target.
• Managing queues and assigning work to team members (Case Creation & RFI response) & manage cut offs.
• Handle email escalations from Stake holders. I.e, Internal & External.
• Quality Assurance Sanctions Screening Team (14 Months) (2017 March -2018 May).
• Primary responsibilities as QA analyst includes reviewing L1, L2 analyst work.
• Reviewing payments to check whether all quality parameters are met by L1, L2 such as correct decision is taken, correct rationale has been provided, correct validation is been given and all hits has been documented.
• Pro actively provide the subject matter expertise when necessary.
• Check whether RFI was raised correctly.
• Provide feedback on findings proactively.

AT&T (US). CHAT SUPPORT

• Handling 2 incoming chats at a time.
• Help business in achieving sales target & also providing excellent customer service by maintaining AHT.
• Suggest, promote and guide clients on new products, refunds, and replacements.
• Explain billing disputes, subscription period.
• Overcame clients objections/rejections to company products and convince them.

• CITIBANK (US). EMAIL SUPPORT .
• Handle email queries related with bank charges such as late fee, minimum balance query related with checking/savings accounts & guide customers on how to avoid bank charges.
• Maintained customer satisfaction with forward-thinking strategies focused on addressing customer needs and resolving concerns.
• Updated account information to maintain customer records & assist by linking accounts.