Kunal D

• Screening second-line review of payments and SWIFT messages in accordance with OFAC and other countries' policies, procedures, and practices, to ensure compliance with laws and regulations (OFAC, UN, EU, HMT, BSA, USA PATRIOT Act).
• Monitoring end-to-end process performance, identifying improvement opportunities, and implementing strategic enhancements to optimize operational efficiency, and elevate client satisfaction.
• Investigate the transactions received in Fircosoft Continuity as per SLA, within the respective TAT, as per the regulator.
• Responsible for other tasks, such as the ISIN check process, SDN checks, license check process, and UAT testing of Fircosoft.
• Reviewing the RMA (Relationship Management Application) request to confirm whether the BICs are permissible to transact with.
• Perform regular quality control checks for both FLOD and SLOD teams, providing timely feedback on QA/QC errors, and maintaining CAPA (Corrective and Preventive Action) documentation to support continuous improvement and audit readiness.
• Lead training sessions for new hires, and support knowledge development across the team.
• Preparing various monthly MIS reports, dashboard reports, and weekly stats pertaining to process and productivity.
• Review negative news alerts, gifts and entertainment (G&E) requests, political contributions, and lobbying activities under the ABAC framework.
• Collaborate with cross-functional teams to strengthen internal controls, improve operational efficiency, and uphold a strong compliance culture.
• Conduct regular false hit mitigation on sanctions and watchlist alerts to ensure accurate disposition and reduce unnecessary escalations.
• Utilize Refinitiv Eikon, World-Check, and Prime applications for daily transaction screening, negative news checks, and due diligence processes, ensuring accurate and efficient sanctions and PEP screening.

• Perform KYC checks with AML guidelines with and comply with the standards of Goldman Sachs

•Quality checking on all the onboarded customers onboarded by the analyst and provide feedback and corrections identified

•Verification of documents provided by the clients with the given control checks

•Onboarding of individuals and entities by ascertaining the risk, company type and business type by following and adhering to the defined company SOPs

•Perform screening of Entity and Individuals as per KYC Norms with the help of World checks

•Provide reports and updates to the clients on a regular basis

•Perform Contact maintenance of onboarded customers

•Creation of onboarding packets to upload the documents of customers

•Maintenance and Updating of SOP documents on a regular basis

•Maintaining and assigning the case tracker to the team

•Updating and maintenance of training trackers

•Provide Buddy up sessions to the new joiners

• Enhanced compliance by conducting 100% KYC checks and adhering to BOI standards with AML guidelines

•Detailed Screening of Client, Parent & Key controls (Key Account parties) with regards to Negative News, Money laundering, Reputational risk &Association with sanctioned countries

•Ensuring to meet the regulatory deadlines by maintaining high quality

•Responsible for doing customer screening as per KYC Norms with the help of Lexis Nexis

•Verifying KYC documents as required to the corporate customers as per Rules and regulations

•Knowledge on searching relevant documents from public domain like CRO & Company House and google

•Customer Identification process for Companies-Risk based approach-high risk Customer types, business types etc