Mahesh Gonnagar

• KYC Review (Corporate KYC for asset managers and Funds)
• Key Activities :- Periodic Review / Remediation (End to End KYC)

1) IDD

• ·Documentation Sourcing & Validation
• Initial Due Diligence
• Risk Assessment

2) Outreach

• Business outreach for pending requirements post identification and verification of publicly source documents.
• Liaising with business lines & relationship manager for missing KYC requirements and collect other mandatory information as prescribed in regulations & guidelines.

3) Documents review

• Assessed the initial KYC documentation and engaging the Relationship Manager to get relevant customer data and determined the KYC requirements to ensuring that all the missing data collected to fulfill the requirements.

4) Screening

• Perform screening using various tool to validate the negative news & PEP alerts at client or individuals associate with the client.
• Financial Crime Compliance
• Consult with FCC team on the negative news & alerted news for the mitigation factors.

5) Profile Completion

• Complete the profile with the information and liaise with business / relationship managers for approvals.
• Provides a comprehensive overview annotations for better understanding
• Identify and escalate potential compliance issues or red flag.
• Provide internal and external compliance guidance’s to advisor.
• Ensuring KYC risk assessments using corporate compliance tools and methods.
• Screened the customers, Performed Sanctions screening, PEP identification and Negative Media searches via Lexis-Nexis, World Check and Google.
• Escalated the positive and potential hits with regard to the sanction, PEP and negative media searches and preparing the documents.

6) Profile Validation.

• This is the final steps in the process to ensure that all the steps are followed are not.
• As quality checkers, we have to ensure that the file is completed with high quality and that analysts are referred to the procedures and policy, All the requirements are fulfilled and client data points are updated or not.
• We have to share a feedback to the analyst.
• Handling critical issues and putting an action plan to improve the process.
• Reporting Daily backlog and productivity report to management
• Taking initiative in resolving process related issues

• KYC Review (Corporate KYC)
• Perform due diligence of existing clients covering a wide range of different client types including Listed entities and Regulated asset management entities as well as more complex structures such as; SPVs, Funds, Governments etc.
• Performing On-Boarding and periodic review on the client based on Region and risk level, and the Risk level is Low, Medium Low, Medium high and High.
• Verifying KYC documentation of the Clients to be adopted/reviewed.
• Performing Screening on negative news, PEP and sanction screening via lexis nexis, FORCES, world check tool.
• Responsible for verification of Client data.