Karan Rohra

EDD / Transaction Review Analyst

• Performed in-depth investigations into high-risk clients, transactions, or entities to assess potential risks associated with money laundering, terrorist financing, or fraud.
• Reviewed and analyzed complex client profiles, including business structures, financial backgrounds, and ownership information.
• Identify clients or transactions that require further scrutiny due to their high-risk nature, such as politically exposed persons (PEPs), clients from high-risk jurisdictions, or clients engaged in complex practices.
• Investigated and analyzed suspicious or unusual transactions for potential financial crimes or regulatory violations.
• Use transaction monitoring tools and software to track and flag potentially suspicious transactions for further review.
• Performed ongoing screening of clients, customers, and transactions using Lexis Nexis, COSIMA, and databases to identify potential risks, such as PEPs, sanctioned entities, and adverse media.
• Monitor changes in client risk profiles and flag changes in behavior or activity that might require enhanced scrutiny.
• Conducted regular monitoring of high-risk clients or transactions to ensure that the organization remains compliant with due diligence requirements.
• Assist in periodic reviews or audits of customer accounts and transaction histories to identify any red flags, or suspicious patterns.
• Work with senior compliance officers or management to escalate high-risk issues that may require further investigation or legal action.
• Assist in making decisions regarding the termination or suspension of business relationships based on EDD findings.

• Performed KYC Screening on customer and documenting the information obtained on the customers profile as required by the global KYC procedure.
• Performed KYC, along with the exceptions given by the client, country-wise.
• Validating KYC risk compliance based on research of customer records.
• Performed required checks to identify PEP, Sanctions, adverse information on individuals and entities. External research was carried out via sources such as the company website, Bloomberg, media articles, etc.
• Connecting with clients for additional information, validation proof, and approvals.
• Acquiring sanction approvals for sanctioned countries or touch points.
• Managing priority requests, escalations, or follow-ups on a daily basis.
• Working on Russia and Ukraine sanction touch points and taking approvals for assets freezed individuals, PEP’s and entities.

• Responsible for accurately researching, analyzing, evaluating and documenting AML Know Your Customer (KYC) information and taking appropriate action to protect the company against controlling Risk, Individual & Corporate Screening, Classification of Risk, PEP training, Enhance Due Diligence for High-risk Clients, Customer Due Diligence, Periodical review, Adverse Media Screen, Knowledge of Applications of Secretary of States, Bankers, Registries, Open Corporates, Lexis,Nexis etc.
• Performing customer due diligence for companies, collecting basic information, formation documents, trading activities, and periodical reviews and renewal of existing companies' data.
• Knowledge of applications like e-Secretary of States for US cases, Google Advanced search, Lexis,Nexis, Bankers Almanac-Bank Entities, Global KYC Registries including US & Non US
• Trained new Joiners on Registries search, Data update in Compliance tool & Processing the US & UK entity Cases
• Performed Enhanced Due Diligence on Companies provided by client by identifying the level of Risk & provide the entire documents such as Politically Exposed Person involvement, Money Laundering Activity & Gambling.