K. ARUMUGASUNDARAM
Deputy Manager - Operations
Summary
Experienced banking professional with 15 years of expertise in diverse areas of banking operations, including customer onboarding, KYC & AML operations, private banking, and investment banking. Currently serving as Deputy Manager at HCL Technologies LTD. Skilled in detecting, analyzing, and mitigating operational risks in customer onboarding, AML analysis, and KYC document review process. Excellent motivational abilities to facilitate the attainment of strategic goals and bottom-line objectives while monitoring attrition and maintaining TAT, quality, productivity, and team behavior. Seeking a managerial role in Banking & Finance Operations with a progressive organization.
Overview
19
19
years of professional experience
3
3
years of post-secondary education
2
2
Certifications
Work History
DEPUTY MANAGER
HCL TECHNOLOGIES LTD.
2023.10 - Current
- Spearheading efforts as a Deputy Manager in banking operations delivery
- Responsibilities includes Manage 63 members of Client on-boarding operations team
- Managing the Overall banking operations which involved client on-boarding process
- Responsible to maintain AHT, TAT, Quality & productions in the area of Client on-boarding process
- Responsible for conducting periodic training on latest regulatory updates in the area of Customer due diligence
- It includes Customer onboarding, Periodic review, KYC document verification, Sanction screening, Risk assessment
- Liaising with the clients for escalations & client's compliant quick resolutions and coordinating with the cross-functional team coordination to identify, prioritize & resolve issues and points of friction
- Organizing training & mentoring sessions for team members to enhance team productivity & strengthening operational efficiencies whilst playing a major role in setting & enforcing standard operating procedures & policies
- Expert in various types of customer due diligence, it includes Simplified, Standard and Enhanced
- Accountable to perform screening the customer and investigate the various alert reports (PEP, Sanctions, Adverse media)
- It includes Lexis nexis report, World Compliance, World Check, OFAC, HMT List, EU consolidated list
- Responsible for conducting audit in the area of preparation of regulatory report
- It includes SAR, STR, CTR, FATCA
- Exposure to work with the banking compliance team & MLRO team in creating / implementing the risk mitigation actions in the area of customer due diligence process
- Conducting Performance Appraisal for my Team
- Responsible for participating and coordinating business change forum meeting and conference calls
- Responsible for assessing team performance through KPI & KRA mechanism
- Entrusted with responsibilities of Identification of process gaps and suggesting remedial and improvement measures to operational teams
- Committed to assign tasks to team members taking into consideration factors such as individual competence levels and transaction volumes
- Committed to Provide feedback to the team Leads on errors, SLAs & Quality.
Sr. TEAM LEADER
HCL TECHNOLOGIES LTD.
1 2018 - 2023.09
- Worked as a Sr. Team Leader in the area of private banking operations
- Areas of responsibilities includes Investment Banking Account opening & KYC Document verification; responsible to onboard the Customers as per global banking regulatory guidelines
- Responsible for conducting due diligence for the on-boarding clients
- It includes gather client details, Identify and request relevant client documentation, perform AML and KYC due diligence and conduct name screening
- Ensure to complete the additional client ID, document checks as per geographic-specific and regulatory requirements.
- Responsible to assess and maintain AML scoring, as per the risk assessment questionnaire.
- Responsible for ensuring complete legal due diligence with the help of the legal and compliance team.
- Ensuring all personal and account opening details of the customers in all relevant systems.
- Coordinating with RMs to resolve customer account maintenance queries.
- Conducting training for account opening staff to adhere to the latest regulatory laws in the account opening and KYC document verification process.
TEAM LEADER
HCL TECHNOLOGIES LTD.
2015.10 - 2017.12
- Responsible for the ensuring Completion of Customer Identification Process and KYC Verification for Existing client
- Training team members on weekly updates and ensure uniformity is adhered
- Point of contact for all escalations
- Conducting Team huddles on daily basis to motivate the people to achieve zero error marathon
- Impact on the Business
- KYC review of Low/Medium/High Risk client profiles prepared by the KYC team
- Compliance review of Special Category Client profiles (Brokers / Traders)
- Perform negative news screening
- Compliance Case Management of KYC profiles
- Review KYC queries raised by the onshore KYC team
- Provide advice to GB&M Relationship Managers where necessary
- Consider the following as operational risk: - Reputational Risk, Bearer Shares, High Risk Countries and handling daily calls with Stake holders and internal teams for an efficient delivery
- Handling KYC for various regions
- Perform KYC for all Corporate Clients to meet the regulatory and other internal KYC requirements
- Collecting information from Primary sources & Chamber of Commerce of different countries
- Accountable for independent due diligence and successfully on-boarding new clients in a high
- Quality / timely manner and ensuring compliance AML / KYC policies
- Customer Segment &Location: KYC Compliance oversight for UK//HONGKONG/SINGAPORE/US Advice
- Anti-Terrorist Financing and Sanctions for Global Banking and Global Markets UK
- To assist management to comply with the requirements of UK//HONGKONG/SINGAPORE/US KYC regime and the Group's money laundering deterrence policies and procedures.
Sr. Customer Support Executive
HCL TECHNOLOGIES LTD.
2010.01 - 2015.10
- Placing orders through SAP using VA01 and Quote references
- Modifying the existing orders using VA02 upon customer/client request for delivery dates, delivery address, adding an item and changing the price for an item
- Checking quality parameters for completed orders using VA03 to ensure the orders have been processed following the guidelines given in the SOP
- Mentoring the team and clearing the doubts
- Training the new users and continuously monitoring their performance
- Reporting the same to the team leader
- Maintaining the process updates and conducting periodical test for the same.
Customer Support Executive
HCL TECHNOLOGIES LTD.
2006.01 - 2010.12
- Processed the faxed orders from the customers of US based Fortune 500 Office Supply Stores
- Handling customer service operations for overseas (USA) Customer through Email support
- Successfully achieved team targets and reporting developments to the management
- Quickly and effectively solve customer queries
- Keeping the team informed about the Updates and escalating issues during the time of Crisis
- Preparing Productivity and Quality report for the team.
Education
B. Com -
Madras University
1998.04 - 2001.04
Skills
Various Core Banking Applications
AML/KYC
Client On-Boarding
Team Development
People Management
Documentation And Reporting
Data Analysis
Strategic Planning
Delegation
Certification
Completed Higher Diploma in Software Engineering (HDSE) in APTECH.
Accomplishments
- R & R Award from HCL Technologies, for the process Bank of Ireland
- Certificate of Excellence from HCL Technologies, for the process Office Depot
- Best Customer Service Award from the client Office Depot, US for maintaining 100% productivity and quality
- Excelencia Premio award from HCL on being Best Performer, for the process Office Depot UK
Professionalforte
- Process Management
- Compliance Skills
- Quality Assurance
- Training & Development
- Back End Management
- MIS
- Coordination / Liaison Skills
- Planning / Scheduling
- Team Management
- Communication Skills
Passportdetails
S0767471, 04/15/2028
Languages
English
Tamil
Timeline
DEPUTY MANAGER
HCL TECHNOLOGIES LTD.
2023.10 - Current
TEAM LEADER
HCL TECHNOLOGIES LTD.
2015.10 - 2017.12
Sr. Customer Support Executive
HCL TECHNOLOGIES LTD.
2010.01 - 2015.10
Customer Support Executive
HCL TECHNOLOGIES LTD.
2006.01 - 2010.12
B. Com -
Madras University
1998.04 - 2001.04
Sr. TEAM LEADER
HCL TECHNOLOGIES LTD.
1 2018 - 2023.09
Completed Higher Diploma in Software Engineering (HDSE) in APTECH.
Completed 4 months course on ORACLE Database Administration
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