Krupal Somavarapu

Ø Perform Surveillance on Employee e-Communications to check for any insider trading or for any murkier transactions and report them for higher management to take necessary action on the missing controls.

Ø I take care of Gifts and Entertainment, Emerging Market Blog Review and report any breaches for the next level review.

Ø Support on highly sensitive and complex Institutional and personal trading investigations and give a detailed report for the management to take appropriate action on the breaches.

Ø Perform AML/KYC checklist due diligence for new transactions.

Ø Review and perform monthly checklists for all the client’s account and check whether all controls are in place as per the client guidelines and company’s internal guidelines and of SEC Guidelines.

Ø Perform Checks on Lexis Nexis for new Client Onboarding for any AML breaches.

Ø Collate Data and help in Filing SEC Statutory Filings like, TIC-S, TIC-SLT, and AIFMD.

Ø Perform conflicts checks to ascertain there is no conflicts within the investing strategies and work as a medium between two Investment strategies.

Ø Cross-trained existing employees to maximize team agility and performance.

Ø Recruited and hired top performers to add talent and value to the department.

Ø Travelled to US and Transitioned Code of Ethics and Surveillance Email Monitoring completely to the offshore team and successfully handling to date.

Ø Conduct the bank's Anti-Money Laundering (AML) investigations in strict accordance with established directives and recommendations.

Ø Prepare and present comprehensive reports that articulate the findings of these investigations, while effectively assessing current controls to identify potential money laundering risks within the institution.

Ø Execute thorough investigations to uncover any unusual activities and provide a concise written analysis of the results.

Ø Moreover, I successfully led the transition of the Australian AML process to India through a series of impactful webinars.