Summary
Overview
Work History
Education
Skills
Hobbies and Interests
Certification
Software
Timeline
Hi, I’m

Gurudath N K

Bangalore
Gurudath N K

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
years of professional experience
1
Certification
5
Languages

Work History

NatWest Group

CS&O Unit leader / AVP Quality Control CDD
07.2022 - Current

Job overview

  • Current role primarily focus on Quality & Standards review thorough evaluations of existing quality controls and standards to uncover gaps, vulnerabilities, or emergent risks that could impact compliance, reputation, or operational outcomes.
  • One of the core deliverables is to generate insights on the controls, Analyze patterns, trends, and anomalies in performance and error metrics to identify underlying risks—both immediate and systemic—that demand focused attention.
  • As part of Quarterly review we do Remedial Action Planning, leading to give inputs on Remedial Design and implement targeted interventions to neutralize identified risks, using root cause analysis, process redesign, and rapid team mobilization for swift impact.
  • As part of stakeholder engagement we do cascade risk findings and mitigation strategies into clear, actionable insights for management and frontline teams, fostering a culture of readiness and proactive recovery.
  • Current role extended responsibilities include performance management, capacity planning, resource optimization of the SIL quality control unit, and maintaining QA scores within SLA with no deviations.
  • As part of an extended responsibility, led the CMA accounts remediation project, taking over a backlog of 800 complex case reviews. Conducted a thorough risk assessment, identified key process vulnerabilities, and, based on quality outcomes and inherent risk profiling, introduced a targeted sampling methodology that effectively balanced risk exposure with operational efficiency. This approach cleared the backlog and restored BAU within one month, reduced workload by 66%, and achieved zero post-implementation quality risks. The data-driven strategy strengthened risk-based quality control, optimised resources, and earned formal appreciation from senior stakeholders for delivering operational excellence without compromising compliance.
  • 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 10 staff direct reporting which comprises of 3 delivery managers and 7 team members and a oversight and responsibility of additional 29 in different location.

Standard Chartered

Associate Manager, Transaction Monitoring CB
04.2018 - 07.2022

Job overview

  • 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.

Kotak Mahindra Bank LTD

Deputy Manager, Operations
02.2016 - 03.2018

Job overview

  • 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

Axis Bank LTD

Officer, Branch operations
06.2013 - 02.2016

Job overview

  • 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

IFBI

Post Graduate Diploma In Retail Banking

University Overview

GPA: 79%

ACAMS

CAMS Certification

University of Mysore

Bachelor of Science (B.Sc)

Skills

Mitigation of operational risks

Hobbies and Interests

  • Reading
  • Exploration
  • Travel
  • Cooking

Certification

CAMS certified

Software

Quantexa

PEGA

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

ACAMS

CAMS Certification
01.2025

IFBI

Post Graduate Diploma In Retail Banking

University of Mysore

Bachelor of Science (B.Sc)

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Gurudath N K