Gurudath N K
Bangalore
Summary
CAMS certified professional always open for learning, which would enable self to contribute more to the work. Having experience in various aspects of Banking like Compliance, Audit, Regulatory Reporting, Operations, Transactions Monitoring, AML & KYC to name a few.
Overview
12
12
years of professional experience
1
1
Certification
Work History
CS&O Unit leader / AVP Quality Control CDD
NatWest Group
07.2022 - Current
- Primarily working within the Quality and standards function, major responsibilities include L2 review of the cases on need basis, coaching and mentoring the new team members, Error trend analysis.
- Current role responsibilities include performance management, capacity planning, resource optimization of the SIL quality control unit & maintained QA scores unit within SLA with nil deviations
- Initially entrusted with CDD Initiations quality function comprising of 8 team members comprising of analysts
- Have been able to maintain the deliverables within SLA post bringing back from backlog situation of 8K cases
- Additionally have responsibility of internal QC responsibility of Strategic Project, which is remediation of business banking customer, majorly to investigate transactional behavior and align to the Standard Industry. These are majorly Pvt. Ltd, Sole trader, Unincorporated partnership, trust.
- Have been twice awarded as best manager since joining, for maintaining quality and SLA.
- Currently have a team of 18 staff direct reporting which comprises of 3 delivery managers and 15 team members and a oversight and responsibility of additional 29 in different location.
Associate Manager, Transaction Monitoring CB
Standard Chartered
04.2018 - 07.2022
- Worked for US Major Cases Investigations stream, where have been processing live cases specific to Adverse Media, OFAC sanctions, Intelligence Exchange and with Civil Subpoena
- As part of major cases investigation reviews have exposure to Escalation narrative writing, deep investigations.
- Had been entrusted with team of eleven (11) members, who have direct reporting to self
- As part of Transaction monitoring we also have entry in Client CDD and KYC of individual & entities
- Also had understanding in company ownership structure unwrapping
- Had worked on various projects which ranged from Human trafficking, cross border smuggling, Bribery to name a few. with adherence to TOR and review timelines.
Deputy Manager, Operations
Kotak Mahindra Bank LTD
02.2016 - 03.2018
- Have good experience in various areas related retail operations like KYC, AML, compliance, Loan documentation, Compliance Reporting
- Have handled operations like Letter of Credit amendment, Trade transactions processing, CASH Management, Clearing and Settlement
- Have experience in working as Back up to Branch Manager with a team of 17 members
- Was nominated for Structure visit / Peer Audit of cluster branches
Officer, Branch operations
Axis Bank LTD
06.2013 - 02.2016
- Was entrusted with Branch operations in front desk responsible for Retail Forex transactions, Teller desk, KYC for New and existing clients
- Had opportunity to handle mutual funds and NFO / IPO / Private Equity related transactions
- Got recognition from supervisor, and management for well organized job focus and service delivery
Education
Bachelor of Science (B.Sc) -
University of Mysore
Post Graduate Diploma In Retail Banking - undefined
IFBI
CAMS Certification - undefined
ACAMS
01.2025
Skills
- Transactions Monitoring
- Audit
- People Management
- Screening
- Evidence Based Writing
- AML
- KYC
- CDD
- Performance management
- Capacity planning
- Workforce planning
Languages
English
Kannada
Telugu
Tamil
Hindi
Hobbies and Interests
- Reading
- Exploration
- Travel
- Cooking
Certification
CAMS certified
Timeline
CS&O Unit leader / AVP Quality Control CDD
NatWest Group
07.2022 - Current
Associate Manager, Transaction Monitoring CB
Standard Chartered
04.2018 - 07.2022
Deputy Manager, Operations
Kotak Mahindra Bank LTD
02.2016 - 03.2018
Officer, Branch operations
Axis Bank LTD
06.2013 - 02.2016
Post Graduate Diploma In Retail Banking - undefined
IFBI
CAMS Certification - undefined
ACAMS
Bachelor of Science (B.Sc) -
University of Mysore
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