Summary
Overview
Work History
Education
Skills
Accomplishments
Personalinterests
Personal Information
Disclaimer
Timeline
Generic

Kapil Suryavanshi

Mumbai

Summary

Skilled AML/KYC Investigator with a background in conducting thorough investigations of potential money laundering activities. Known for demonstrating strong regulatory knowledge, proven investigative techniques, and keen attention to detail. Around 10 years of experience in Investment Banking.

Overview

9
9
years of professional experience

Work History

Associate

Deutsche India Private Ltd
Mumbai
12.2022 - Current
  • Perform outreach for periodic review clients, liaise with external clients and internal stakeholders on daily basis to communicate KYC and regulatory requirements
  • Lead internal stakeholder's line by line calls wherein each month's population (PR/EDR) is being discussed
  • Perform QC checks on client outreach drafts prepared by new joiners in outreach team
  • Weekly call with business support team for ageing files with Client and ACO
  • Allocation of PR/EDR files within outreach team and take daily SOD updates
  • Pipeline management and ensure proper traction on monthly population
  • Track daily EOD status of the team and share report with management.

Assistant Manager

Citicorp Services India Private Limited
Mumbai
01.2020 - 11.2022
  • Conduct end-to-end Quality reviews of allocated KYC Records (All client types - EMEA region)
  • Capture findings as per defined format on a timely basis
  • Liaise with client directly via CDDO portal for procuring KYC related requirements
  • Allocating records to makers on daily basis
  • Tracking SLA of 2DO records and notify team on timely basis
  • Engage with stakeholders and compliance to implement changes to improve quality
  • Ensure global KYC / AML standards and procedures are set and followed consistently
  • Propose appropriate corrective action plan and best practices recommendations for identified issues through the continuous improvement process (CIP)
  • Review Compliance feedback to ensure continuous improvements
  • Conduct Trainings on KYC process and procedures to Makers for FTRs and productivity.

KYC Analyst

Nomura
Mumbai
07.2017 - 12.2019
  • Responsible for performing Client Review functions on different Legal Entity Form for EMEA region using Client Account Control Engine (CACE)
  • Conduct background screening on the Client name, Shareholders & other officials' names using tools such as World Check / Dow Jones / Factiva. Performing Google Screening for High and High-Focus Risk clients
  • Interact with the Salesperson to ensure that proper account documentation is obtained from the customer for Japanese and Investment Banking Division (IBD) clients
  • Interface with and provide support to Client Account Review, Financial Crime Team (FCT) and Compliance teams
  • Reviews and Approvals of Static Data Amendments for existing customer accounts
  • Conduct reviews of existing clients for status, data veracity and amendments, status, country of incorporation and assign appropriate risk classification
  • Conduct review and perform Quality checks on the PEP forms, FCT escalation forms, Waivers and Queries raise to FCT Team
  • Conduct review and perform Quality checks on all the Client outreach and Sales outreach done for proper account documentation and case specific information as per the Client Identification Procedure (CIP)
  • Check Referral Data Management (RDM) for open Trading accounts and Nomura Booking Entities
  • Maintaining MIS data accuracy through excels and reporting tools.

Due Diligence Officer

BNP Paribas
Mumbai
02.2016 - 07.2017
  • Performing Recertification for Singapore region
  • Classifying the existing clients with risk categories and conducting due diligence certification / Recertification / KYC process (Including EDD cases and CAC form)
  • Obtaining the Mandatory Documents and reports (Bankers Almanac, US Patriot Act, Wolfsberg Questionnaire, Equasis, Llyods etc.) as per KYC Requirements
  • Extracting documents from various companies' registries such as ICRIS, ACRA, Companies House etc
  • Performing the Background Screenings with the help of tools such as LYNX, VIGILANCE, WORLD CHECK, SIDE SAFE WATCH, FACTIVA etc, and local & Global Blacklists
  • Directing the client profiles for Compliance approval after collecting the missing documents, opinions and sign offs from the SBOs
  • To ensure data and documents are uploaded into the system (GCARS) properly
  • To ensure that file passes all the Quality and the control reviews (Local Checks, Onshore 4 eye checks, SBO approval and in turn Compliance Approval)
  • Upon approval forwarding the Due Diligence information to Static data team for maintenance.

Intern-Analyst

Goldman Sachs Pvt. Ltd.
Bangalore
09.2015 - 12.2015
  • Payment of fees to Brokers, Exchanges, Clearing Houses and Depositories for trades executed globally
  • Managing invoices for Exchanges, Depositories and Agent Banks charges billed by various service vendors all over the globe
  • Processing Agent Bank invoices such as Tracking, Validation and Allocation.

Education

MBA - PT MBA in Finance

N. L Dalmia Institute of Management Studies And Research
Mumbai, India
04-2021

Certified Investment Banking Operations Proffessional -

Imarticus Learning
Mumbai, India
05-2015

Bachelors in Financial Markets -

L.S Raheja College of Arts & Commerce
Mumbai, India
03-2015

H.S.C -

Bhavans College (Andheri)
Mumbai, India
03-2011

S.S.C -

St. Francis High School
Mumbai, India
03-2009

Skills

  • MS Office
  • MS Excel (Vlookup, Pivot)
  • Work Planning and Prioritization
  • Process Improvement

Accomplishments

  • Winner of first-ever Hall of Fame award (monthly individual award)
  • Completed 16 Low/Medium risks - SDD/RDD/EDD cases single-handedly
  • Represented school in Cricket as Captain
  • Played for Mumbai Team in Ryan International Cricket Tournament

Personalinterests

  • Playing Cricket
  • Travelling
  • Watching Movies

Personal Information

Date of Birth: 02/26/93

Language Known - English, Hindi and Marathi

Disclaimer

I hereby declare that the information furnished above is true to the best of my knowledge.

Timeline

Associate

Deutsche India Private Ltd
12.2022 - Current

Assistant Manager

Citicorp Services India Private Limited
01.2020 - 11.2022

KYC Analyst

Nomura
07.2017 - 12.2019

Due Diligence Officer

BNP Paribas
02.2016 - 07.2017

Intern-Analyst

Goldman Sachs Pvt. Ltd.
09.2015 - 12.2015

MBA - PT MBA in Finance

N. L Dalmia Institute of Management Studies And Research

Certified Investment Banking Operations Proffessional -

Imarticus Learning

Bachelors in Financial Markets -

L.S Raheja College of Arts & Commerce

H.S.C -

Bhavans College (Andheri)

S.S.C -

St. Francis High School

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Kapil Suryavanshi