KARAN HARISH BAROT
Mumbai
Summary
Results-driven AML/KYC Analyst specializing in client onboarding, risk assessment, and sanctions screening. Ensures global regulatory compliance while enhancing data integrity and client experience. Experienced in transfer agency operations, fund distributions, and investor reporting, with a focus on optimizing workflows and collaborating effectively with compliance teams.
Overview
4
4
years of professional experience
Work History
Associate – Investor Services (AML/KYC)
Waystone
11.2024 - Current
- Oversee end-to-end AML/KYC onboarding and periodic reviews for individuals, joint accounts, LLCs, trusts, charities, and regulated institutions.
- Conducted thorough risk-based due diligence on jurisdiction, entity type, and ownership structure.
- Reviewed IDs, source of funds, and corporate certificates to maintain compliance with KYC regulations.
- conduct risk-based due diligence (jurisdiction entity type ownership structure)
- Oversaw maintenance of share registries and investor records, ensuring accurate compliance documentation.
- Supported audit processes and upheld compliance standards for enhanced due diligence (EDD) cases.
- Worked flexible hours, including nights, weekends, and holidays, to meet staffing needs.
- Functioned efficiently in high-pressure, fast-paced work environments to meet deadlines.
- Recognized with Certificate of Appreciation for consistently delivering Outstanding
Contribution and Exceptional Performance during quarterly evaluations.
Associate – Investor Services
Globeop Financial Services
08.2023 - 09.2024
- Delivered end-to-end investor services, handling queries, onboarding, and transaction support.
- Handled investor queries regarding payments, documents, reports, and statements.
- Managed capital call notices, financial & quarterly reporting, and fund distributions.
- Managed capital call notices, financial and quarterly reporting, and fund distributions to ensure timely and accurate investor communications.
- Processed investor wires according to settlement instructions, facilitating smooth transaction execution.
- Investigated alerts for potential sanctions/PEP matches, distinguishing false positives.
- Responded to investor queries regarding payment and documentation issues regarding payments, documents, reports, and statements.
Analyst – AML
Hexaware BPS
03.2022 - 07.2023
- Performed sanctions pep and negative news screening through application of global screening tools.
- facilitated team collaboration by communicating complex findings through visualizations and reports, improving decision-making.
- Improved KYC verification by enhancing document tagging processes and strengthened enhanced due diligence (EDD).
- ensured conformity with worldwide regulatory frameworks (OFAC, UN, EU, FATF), mitigating compliance risks.
- Facilitated team collaboration through clear communication of complex findings via visualizations and reports.
Education
Certified Investment Banking Operations Professional (CIBOP) -
Imarticus Learning
Thane01-2021
B.Com -
Gurukul College of Commerce
Mumbai01-2020
H.S.C -
Sheth Motibhai Pachan Rashtriya Shala
Mumbai01-2017
S.S.C - undefined
Navbharat Nutan Vidhyalaya High School
Mumbai01-2015
Skills
AML/KYC compliance
Sanctions screening
Risk management assessment
Client onboarding
Fund administration
Attention to detail
Multitasking
Collaborative teamwork
Client communication
EXTRACURRICULAR
Organized medicine distribution drives for underprivileged communities. Organized medicine distribution drives for underprivileged communities.
Timeline
Associate – Investor Services (AML/KYC)
Waystone
11.2024 - Current
Associate – Investor Services
Globeop Financial Services
08.2023 - 09.2024
Analyst – AML
Hexaware BPS
03.2022 - 07.2023
S.S.C - undefined
Navbharat Nutan Vidhyalaya High School
Certified Investment Banking Operations Professional (CIBOP) -
Imarticus Learning
B.Com -
Gurukul College of Commerce
H.S.C -
Sheth Motibhai Pachan Rashtriya Shala