Summary
Overview
Work History
Education
Skills
Accomplishments
Interests
Timeline
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KOPAL SEN

Assistant Manager-Nomura, Mumbai
Mumbai,MH

Summary

10 Years of experience in AML KYC EDD of New; Event Driven and Existing clients Periodic Review, Client On-Boarding/Off-Boarding
I have an ability to understand the areas requiring escalation during a KYC procedure of a client. In depth knowledge of action to be taken while dealing with HIGH RISK and PEP and sanctions related association found for the client while their review.
Interactive with other team likes Sales/Business or shared services along with Compliance and Designated Management at the time liasoning is required. Vast experience with all region based KYC US,UK,India,APAC,JAPAN

Overview

11
11
years of professional experience
5
5
years of post-secondary education
1
1
Language

Work History

KYC Domain – Asst Manager

Nomura
Mumbai
02.2017 - Current
  • Professional Experienced in field of KYC/AML with leading global financial institution
  • Handling team of 4 FTEs (Analyst,Sr Analyst) enlightenment them in daily BAU activity.
  • Screening adverse information of clients using World Check, Lexis Nexis and company s internal sources
  • Quality Check,Approval for the KYC docs of clients reviewed
  • Ad hoc activities like Daily Reports, Weekly Dashboard to be published and monthly & quarterly MIS
  • Strong working knowledge of KYC / CIP / AML rules and regulations.
  • Liaising with On-shore team to discuss the BAU and upcoming volumes and expected numbers to be auctioned as per the day to day volumes
  • Supporting Manager/Checker level operations when and where required for the team
  • Providing Time to time suggestions for required modifications in SOP to regional kyc teams
  • Obtaining information about clients and UBO’s by performing necessary checks on Google and Forbes, Bloomberg, Reuters, Company Website
  • Ensuring creating and supporting a back up for all tasks and resources within the Team
  • Training and assessment to ensure new joiner’s learning and clarity towards the Procedures
  • Supporting projects for smooth Migration and new policy implementation
  • Identifying the client’s existence and legal status
  • Categorization of the client/entity according to the ‘Nature of Business’
  • Supporting Risk & Control's team to develop functional controls for process
  • Reviewing all required details and documents from valid sources as per Regulatory requirements
  • Liaising with respective teams (Business/sales) or Client for procurement of missing documents / information for setting up of trading accounts for various products like Cash equities, fixed income, Commodities& Derivatives etc
  • Review of complete and sufficing requirements of a client's KYC (Know Your Customers) i.e
  • Documentation/information and identifying missing documentation/information that needs to be obtained
  • Remain informed of relevant regulatory developments including internal Compliance Policies
  • Perform periodic/rolling/event driven reviews on the High, Medium and Low category clients across jurisdictions
  • Performing Screenings as for the Client name and its associated parties to retrieve any negative news and PEP alerts or RCA alerts for the client
  • Flagging SOE/PEP associations with the client to drive their overall Risk Ratings accordingly
  • Escalating the red flags identified during the review to the Compliance and seek required approvals on the same
  • Timely monitoring of Alerts/HITs generated by AML monitoring system (PCR, RDC, Lexis, Nexis, World Check, Factiva, Dow Jones etc.) in line with the internal policies of the bank
  • Obtaining information about clients and UBO’s by performing necessary checks on Google and Forbes, Bloomberg, Reuters, Company Website
  • Performing EDD (Enhanced Due Diligence) on high risk clients, and CDD and SDD (Simplified due diligence) clients in case of medium and low risk clients
  • Protect the financial institutions from Reputational, Legal, and regulatory risk by identifying owners, PEP or any negative news on clients
  • Trying to identify and raise/escalate the association found with sanctioned/embargoed /internal Do Not Trade entity/client/country, hence Money Laundering and Terrorist Financing risk mitigation to be practiced
  • Understanding and best utilization of internal tools
  • Obtaining information about clients and UBO’s by performing necessary checks on Google and Forbes, Bloomberg, Reuters, Company Website
  • Ensuring to meet timelines and ensure no Breach over given SLAs


KYC Domain - Senior Associate

State Street Services India Pvt Ltd
Bangalore
04.2016 - 02.2017

KYC Domain - Analyst

DEUTSCHE BANK GROUP, DBOI
Jaipur
07.2012 - 03.2016

KYC Domain - Process Associate

GENPACT
Jaipur
06.2011 - 07.2012

Education

Bachelor of Arts - Sociology; Public Admn & E. Lit

University of Rajasthan
07.2006 - 07.2009

Master of Arts - Public Administration

University of Rajasthan
06.2009 - 07.2011

Skills

    KYC

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Accomplishments

    Work on few project in which direct liasioning directly to stake holder of firm from country side manager firm vendor KYC.

    Successfully implementing Share Point to reduce TAT for Periodic KYC Reviews.

    Implementing RPA to review Historic KYC Checks for Low to Medium Risk Client

    Whole Responsible for transitions of business from Japan,US,Korea to India

    Promoted in Current Organization as Assistant Manager in June 2021

Interests

Traveling

Volunteering

Music

Timeline

KYC Domain – Asst Manager

Nomura
02.2017 - Current

KYC Domain - Senior Associate

State Street Services India Pvt Ltd
04.2016 - 02.2017

KYC Domain - Analyst

DEUTSCHE BANK GROUP, DBOI
07.2012 - 03.2016

KYC Domain - Process Associate

GENPACT
06.2011 - 07.2012

Master of Arts - Public Administration

University of Rajasthan
06.2009 - 07.2011

Bachelor of Arts - Sociology; Public Admn & E. Lit

University of Rajasthan
07.2006 - 07.2009

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KOPAL SENAssistant Manager-Nomura, Mumbai