Kishore Kumar C
Chennai
Summary
Highly insightful KYC experienced working in implementing the consistent application of local and global KYC policies and procedures, aimed at assuring compliance with relevant money-laundering regulations. Through research detailed records and solid communication skills will always maintain a high level of customer service for clients and employers at all times.
Overview
9
9
years of professional experience
5
5
years of post-secondary education
2
2
Languages
Work History
Senior Analyst
Societe Generale Global Solution Private Limited
Chennai
08.2021 - Current
- Playing Internal Quality controller role in combating financial crime occurrences for
- Asia Region supporting Correspondent Banking Clients, Non-Correspondent
- Banking Clients & Corporate Clients for Asia regions
- Conducted KYC, EDD, CDD, document verification checks, source of income/wealth, PEPs, Sanctions and Watch list checks for new to bank and already existing bank customers
- Experience of reviewing complex structures, PEPs and/or Sanctions screening
- KYC Investigations utilizing peripheral supporting applications, i.e., search engines, proprietary database services (Lexis Nexis, World Check, Bloomberg,
- Orbis, LEI, Morning Star, Avox Data, Markets FT, Stock Exchanges etc)
- Reviewing cases for adherence to EDD procedures and ensure analyst conclusions are clear, complete and supported by the information in the file
- Identify root causes, understand connections and implications and evaluate alternatives
- Support the CDD/EDD KYC new joiners to identify & validate data and documentation gaps and coach them on researching accordingly
- Experience in participating in process simplification & Improvement
- Ensuring that high quality standards are maintained for all KYC profiles that are approved and submitted by the individual in line with the productivity targets for each jurisdiction and Performance Level Agreement
- To maintain core standards of behavior at all times
- Ensured significant issues identified are reported and escalated in a timely manner.
Due Diligence Associate
Wells Fargo International Solutions Private Limited
Chennai
02.2019 - 08.2021
- Periodic Review of Wholesale Banking Customers where KYC profiles are reviewed in accordance with the Wells Fargo policies and procedures, which includes completion of CDD (Customer Due Diligence) template, undertaking due diligence and obtaining documents as required from the client / Relationship
- Manager (RM)
- Perform screening, which includes sanctions, Politically Exposed Person (PEP) and negative news screening using relevant tools to make sure the client has no potential restrictions or negative news activities
- Perform Periodic KYC reviews on risk based schedule
- Prepared KYC Due Diligence profiles on a wide range of entity types (Regulated and Unregulated Markets, equivalent and non-equivalent jurisdiction), Correspondence/Foreign Banks, Partnerships, Trusts,
- Charities).Confirming/verifying changes to client data
- Performed AML Investigations utilizing peripheral supporting applications.
Process Analyst
SOCIETE GENERALE Proj, JoulestoWatts Business Solutions Pvt Ltd
Chennai
10.2017 - 02.2019
- Identifyiing AML Category accurately basis on information available
- (e.g, Regulated, Listed, Private entities, Government entities etc.)
- Part of the periodic Review process within the Global Markets which includes Asia, Europe and America region
- Perform screening, which includes sanctions, Politically Exposed Person (PEP) and negative news screening using relevant tools to make sure the client has no potential restrictions or negative news activities
- Perform public domain search for capturing client information from AML
- Compliance approved websites and others (i.e.
- Lexis/Nexis, Bankers Almanac, company websites, government websites, etc..)
- Conduct full KYC reviews for new to bank and already existing bank customers ensure that the outcomes are properly documented
- Contributed positively to the KYC account review operations and take responsibility for the development and implementation of specific deliverables and ensuring these deliverables are achieved within the required time, cost and quality parameters
- Maintaining a working knowledge of AML/ OFAC/ Local regulations (eg., US CIP) and be able to relate them to SG policies and procedures.
Process Associate
Tata Consultancy Services
Chennai
02.2014 - 07.2016
- Ensured efficient identification and monitoring of suspicious activities and transaction in the Bank and ensure timely reporting of suspicious transactions to the (AML) Compliance Officer, and the Financial
- Intelligence Centre at Bank of USAA
- Review alerts generated by the Source system to investigate transactions and weed out the potential fraudulent/ laundering transactions
- Transactions that involve unusual activity will be closely monitored and alert which appears to be suspicious are created as cases and escalated to the respective in-country MLRO (Money Laundering Reporting Officer), where the second level investigation is done and Suspicious Activity
- Report (SAR) is filed against the customer, if required
- Maintain a high level of expertise with respect to Anti-Money
- Laundering rules & regulations, technical tools, particularly Experian,
- Lexis Nexis, Norkom and other reporting tools
- Maintain a current understanding of money laundering and terrorist financing issues, including policies, procedures, regulations, industry best practice, criminal typologies and developing trends
- Assist in the development of in-person AML/Economic Sanctions
- Compliance Training for new employees.
Process Associate
Accenture Pvt Ltd
Chennai
06.2012 - 01.2014
- Improved and implemented customer risk rating criteria with KYC management and procedure for both consumer and corporate customer
- Ability to review and interpret complex data from a variety of sources
- Performs independent check of KYC information provided by front office
- Be highly organized with strong time management and prioritization skills and be able to adopt and maintain a logical approach to tasks
- Conduct investigations on databases such as LEXIS NEXIS and Dun &
- Bradstreet to analyze and evaluate the risk posed by the client based upon the client's business functions and its financial activity
- Draft detailed reviews of the investigations performed in order to determine action to be taken
- Confirmed timely resolution of work assignments by organizing and prioritizing appropriately.
Education
Under Graduation - B.Sc - Chemistry
Madras Christian College
01.2009 - 04.2012
MBA - Human Resources Management
Pondicherry University
Chennai 06.2013 - 04.2015
Skills
Corporate KYC(CDD & EDD)undefined
Timeline
Senior Analyst
Societe Generale Global Solution Private Limited
08.2021 - Current
Due Diligence Associate
Wells Fargo International Solutions Private Limited
02.2019 - 08.2021
Process Analyst
SOCIETE GENERALE Proj, JoulestoWatts Business Solutions Pvt Ltd
10.2017 - 02.2019
Process Associate
Tata Consultancy Services
02.2014 - 07.2016
MBA - Human Resources Management
Pondicherry University
06.2013 - 04.2015
Process Associate
Accenture Pvt Ltd
06.2012 - 01.2014
Under Graduation - B.Sc - Chemistry
Madras Christian College
01.2009 - 04.2012
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