Sai Lokesh Kolla

• Conducting review on the account and the transactions for a period of past one year.
• Identifying the line of business of the customer, customer's customer and preparing a report on the findings identified.
• Reviewing Possible Nested Financial Institutions and checking if they are disclosed or undisclosed Nested FI's.
• Activities involved- research of entities/individuals based on sampling methods, finding and reporting nesting activity, raising RFI's for unusual activities, negative news checking.

Transactions Monitoring:

• Reviewing the transactions to check whether they are inline to the clients profile or not.
• If there is any suspicious identifying and able to confirm that the client is involved in dealing with illegal activities such as Selling of Drugs, Terrorist Financing, Sale of illegal arms etc will be escalated.
• SAR will be filed at the analyst level with all the findings before escalating to the on shore team.

KYC - Onboarding:

• Reviewing the profiles of charities to understand the purpose and mission of the charity.
• In depth reviewing will be conducted on the charity profile to understand the CEO, CFO, COO of the charity, to make sure that there is no risk associated like the people in these positions are not PEP's or not related to any political party.
• If there is no conclusive information or proper information found on the charity the alert/case would be escalated with the findings to the Onshore.

• Review and verification documents submitted by the Client for account opening, in accordance with the customer due diligence standards AML/KYC requirements.
• Performing ongoing customer due diligence including maintenance and updating of AML and KYC records and information for existing clients.
• Identify and escalate any suspicious or unusual matters to Line of Business for further investigations.
• Identifying and verifying the ultimate beneficial owners of the firms and Ensure AML/KYC Compliance

• First level investigation of customer’s basic KYC information and transactions then documentation of findings.
• Immediate escalation of suspicious alerts to next level of investigations.
• Second level of AML Investigations and immediate escalation of suspicious transactional activities by customers to senior most level o0f investigations.
• Address escalated investigations in a timely manner, coordinating with internal departments and Quality.
• Thorough understanding of global standard policies and procedures set by the bank while doing investigations on customer’s KYC and transactions monitoring.
• Queries to be raised to customer’s relationship manager on findings listed on unusual transactional behaviour of different customers.

Quality Assurance Analyst:

• Conduct Quality check on the investigator’s decisions and ways of investigation about customer’s screened against the defined watch lists consisting of terrorists, Fraudsters, Money Launderers, Drug Traffickers, Sanctioned Individuals or Entities and Politically Exposed Persons with all the available information across APAC, US, UK & MENA Regions.
• Conduct Quality development sessions weekly for operation teams.
• Consolidate reports from various regions and allocate work accordingly to analysts.
• Responsible for generation of reports of various complexities to keep the business partner and the senior management aware of the process metrics for managerial decision-making.
• Provided Appropriate Feedback on the wrongly escalated cases and cases which were wrongly disposed.

Customer Service Representative:

• Investigate and identify potential /confirmed matches by using all applications.
• Escalate potential /confirmed matches to onshore Money Laundering Control teams.
• Notify all the business areas where the customer holds a relationship.
• Ensure that work is completed in accordance with the agreed Turnaround time.
• Maintain work rate and Quality percentage.