Dharam B S
Assistant Manager
Electronic city
Summary
With extensive 10 years of experience in banking operations & financial service industry and over 4 years of Experience in manual Testing and Quality Assurance,And over 6+ years of experience in KYC review, On-boarding aspects and KYC risk excellence and Quality assurance along Wire processing and cash management with managing client expectations, directing team members, managing several projects and contributing to the group strategies of the bank. Managed/Lead a team of ( Team leads/ Emerging Leads) with the responsibility of ensuring the KYC review/onboarding is completed well within the defined TAT and ensuring the pleasant working relation b/w On-shore and off- Shore. Ensuring the Team members are motivated and enthusiastic in delivering the expected results.
Overview
10
10
years of professional experience
5
5
years of post-secondary education
3
3
Languages
Work History
Assistant Manager - AML KYC
State-street corporate services Mumbai private limited
2022.04 - Current
- Managed New business, Periodic review, redemption and Trigger reviews for the Northern America region
- ( including high risk and correspondent banking clients)
- Creation of process documents such as SOP (standard operating procedure) and SLA (service level agreements) for AMERICAS KYC and Validation from approving authorities
- Plan / forecast for capacity weekly, monthly and quarter using the data
- (Capacity Management/Capacity utilization) Ensuring quality of KYC's performed by the team with at most vigilance and providing feedback to team members
- Revamping Standard Operating Procedures, Training Materials to keep procedures up to date and conducting problem solving sessions, Sit-Ins for process and individual efficiency
- Daily and weekly calls with BU/Sales to get the documents for smooth onboarding/review
- Part talent acquisition team within KYC department whereas responsible for finding, acquiring, assessing, and hiring candidates to fill roles that are required to meet company goals and fill project requirements
- Performing one-on-one with team members and sharing areas of improvement to meet the standards
- Monitoring the team adherence to policies, procedures and organizational values and providing timely and accurate feedback
- Publish report to AML Compliance, Corporate Audit, Global Head of AML Operations and all KYC Pillar Leads
- Monitoring the team adherence to policies, procedures and organizational values and provide timely and accurate feedback.
Senior Analyst - AML KYC
Apex Fund services LLC
2020.06 - 2022.04
- Conducting Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) for the Client as per Apex policy.Calculation of Client FCRR (Financing Crime Risk Rating)
- Basically, assessing the risk of the client
- Finding out the Ultimate Beneficial Owner (UBO) of the Client and Preparing Ownership Chart.And finding out the Political Exposed Person (PEP), Key Controllers and their holdings in the client
- Detailed Screening of Client, Parent & Key Controllers with regards to Negative News, Money Laundering, Reputational Risk and connection with Sanction Countries
- Collecting updated Anti Money Laundering (AML) & Wolfsburg Questionnaire from the Client
- Working closely with Compliance team to mitigate the risk of the Clients
- Raising High Risk Investor with Compliance team with regards to Negative News and verify and validating Client's Legal documents
- Validating information related to Client & associated parties with Compliance approved sources
- Process subscriptions, redemptions, transfers, and switches for a range of onshore and offshore funds on the relevant Transfer Agency system.
Hedge Fund Strategy Analyst
Societe Generale Global Solution Pvt Ltd
2016.03 - 2020.06
- Involved in Test Plan, Test estimation and Test metrics.
- Responsible for Rating Hedge Funds in referential database by conducting extensive due diligence of fund by interpreting the client source documents
- Proficient in processing various wires such as expense, subscription, and redemption wires, including Fed wire. Experienced in handling wire protocols such as MT103, MT200, MT210, and ROF.
- Skilled in cash management, investor setup, and contact updating. Able to perform cash reconciliation statements for hedge funds and private equity
- Worked on Mainframe validation testing for Fraud and privacy technologies for AML, KYC application.
- Testing Web applications in different browsers like Mozilla Fire Fox 3X. Chrome, Safari and in different operating systems like windows XP
- Have strong experience in identifying High-Level Scenarios, Test Case creation, Test Case execution and Bug logging.
- Experience in one-on-one client interaction, handling client scrum/weekly call: involved in team discussion like task allocation, KT, issue or query resolving.
- Motivated self-starter and enthusiastic team member. Have good written & verbal communication skills.
- Experience in sending daily status report and having good leading skills.
- Quality check on the documents like audited financials of the master and feeder funds, monthly reports and returns and also assets under management, DDQ's (Due Intelligence Report)
- Investors) in accordance with the policies & procedures and liaise with investors in relation to anti-money laundering documentation.
Associate Content Analyst
Thomson Reuters
2014.03 - 2016.03
- Worked on Data Enhancement requests (Projects) received from Clients and Implementation of the same on Thomson Reuters Products
- Process and analyze pricing and reference data for Derivatives instruments, Options, Swaps, Commodities and Energy for products like Thomson Reuters Eikon, Reuters 3000Xtra, Reuters Data scope Equities and Reuters Data scope select
- Delivering training to new team members on Commodity & Energy Markets and on the Thomson Reuters specific products and Handling Client queries relating to Reuters products, securities information, pricing information though a web-based oracle tool called sales force
- Proven abilities in managing maintenance operations of Process, New Ideas generation with proven abilities in reducing downtime
- Ensures data quality, accuracy, timeliness and completeness per company standards for the covered product and market.
Education
Masters of buissness administration -
T John's institute of management and science
2012.06 - 2014.05
Bachelor of Buissness management - undefined
St' Anne's degree college
2009.06 - 2012.05
Skills
CRM tools(Siebel and service cloud)
undefinedDetails
Electronic city, Bengaluru, 560100, India
Timeline
Assistant Manager - AML KYC
State-street corporate services Mumbai private limited
2022.04 - Current
Senior Analyst - AML KYC
Apex Fund services LLC
2020.06 - 2022.04
Hedge Fund Strategy Analyst
Societe Generale Global Solution Pvt Ltd
2016.03 - 2020.06
Associate Content Analyst
Thomson Reuters
2014.03 - 2016.03
Masters of buissness administration -
T John's institute of management and science
2012.06 - 2014.05
Bachelor of Buissness management - undefined
St' Anne's degree college
2009.06 - 2012.05
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