Mainak Mishra
Noida
Summary
KYC professional with extensive experience in compliance and risk assessment across multiple banking institutions. Led initiatives that improved operational efficiency and decreased turnaround times. Skilled in cross-functional collaboration and team development, promoting accountability and continuous improvement in KYC processes. Committed to delivering data-driven insights and cultivating a culture of excellence.
Overview
14
14
years of professional experience
Work History
KYC Assistant Vice President
Barclays Global Service Centre
Noida
09.2024 - Current
- Led strategic KYC initiatives across corporate banking portfolios, ensuring compliance and operational efficiency.
- Established and scaled three KYC refresh teams in Noida and Chennai, integrating risk inputs for timely reviews.
- Spearheaded process transformation as Continuous Improvement Champion, leveraging SME insights to enhance workflows.
- Designed 'Project Synergy' to optimize client risk ratings, achieving savings of approximately nine FTEs.
- Streamlined KYC documentation and workflows to improve client onboarding experiences significantly.
- Implemented MI and KPI dashboards to monitor KYC performance, enabling data-driven decision-making.
- Executed Path to Green plan for trigger breach cases, reducing incidents and improving compliance standards.
- Developed performance scorecards to track productivity and quality metrics, fostering team accountability.
- Developed a comprehensive Monthly Business Review (MBR) dashboard consolidating performance metrics into actionable insights. Integrated Key Performance Indicators (KPIs), Risk Indicators (KRIs), and Service Level Agreements (SLAs) for stakeholders' operational health assessment.
- Collaborated on Pre-Trigger Guardrail (PTG) plan, successfully mitigating risks through strategic initiatives.
- Established PMS and bulk Salesforce update system to detect and resolve delays in KYC processing, fostering a better colleague experience alongside ensuring accurate reporting
KYC Manager
Barclays Global Service Centre
Noida
08.2022 - 09.2024
- Oversee AML/KYC KPIs for 20+ analysts, ensure quality & timely completion. Enhance performance through evaluations and personalized coaching.
- Led initiatives to maintain employee productivity. Delivered diverse project on schedule time, budget and quality standards.
- Ensure timely and accurate completion of KYC audits.
- Plan and collaborate with legal, risk, and operations teams to address compliance challenges.
- Monitor changes in regulations and update KYC processes accordingly.
- Prepare and present compliance reports to senior management and regulatory bodies.
- Developed ongoing KYC training programs to enhance staff knowledge.
- Manage a team of KYC specialists to handle all aspects of the customer onboarding and verification process for business.
- Continuously monitor regulatory changes and update KYC processes accordingly to maintain full compliance.
- Represent company in industry forums and contribute to development of KYC best practices.
- Plan and collaborate cross-functionally with product, engineering, legal and compliance teams to identify and resolve KYC-related issues.
- Analyse KYC performance data to identify trends and opportunities for process improvements.
- Develop KYC training plan to develop and enhance staff knowledge of business and product.
- Set metrics for the team, provide feedback, and foster a culture of continuous learning and development.
- Establish strong relationships with external stakeholders such as banks, government agencies and industry bodies.
- Manage KYC Operations project book of work, strategic program roll-out and system enhancements.
Risk Transformation - Business Analyst
HSBC Holdings PLC
Bangalore
02.2022 - 08.2022
- Identified risks and gaps across multiple lines of business. Worked with stakeholders to improve processes.
- Enhanced performance through new KYC process initiatives aligned with regional goals.
- Advised stakeholders in 10 sub-departments on project prioritization and optimization.
- Analysed and prepared project documentation, reports, and benefits trackers with the PMO team.
- Analysed operational data to calculate FTE and non-FTE benefits.
- Plan and perform due diligence reviews of vendors, reviewing security policies, audit reports, and key compliance documentation.
- Involved in key Documentation and Reporting, maintain comprehensive documentation of risk assessments, findings, processes, and recommendations.
- Manage and assess impact of operational implementation of technology and policy change and drives continuous improvements to quality of data and client service levels.
- Prepare reports for management and stakeholders on third-party risk status including critical data breaches, security incidents, and service disruptions.
- Assist in the development and implementation of third-party risk management policies and procedures in line with industry best practices and key regulatory requirements.
- Plan and provide training and support to internal teams on third-party risk management practices and the importance of vendor assessments.
- Serve as key contributor to the Global KYC strategy and partner with the Global Management team to develop a target operating model encompassing people, process and technology.
Assistant Manager - KYC Business Systems
HSBC Holdings PLC
Bangalore
12.2020 - 02.2022
- Prepare and present detailed reports to upper management, audit, and quality teams, addressing issues and recommendations.
- Delivered training programs for system-wide issue handling and compliance, onboarding new members.
- Ensure effective governance of tasks and processes with reference to policy and regulation.
- Provided expertise on compliance best practices and quality control to various stakeholders.
- Assisted with access management and compliance support, ensuring smooth user operations and adherence to policies.
- Tier 0 IT Support: Offered desk-side IT support to non-technical users, and ensuring efficient problem resolution.
- Delivered onsite technical support to approximately 7000 employees worldwide.
- Worked with policy and IT teams to develop and implement compliance policies, technology platforms, and training.
- Analyse business performance metrics and user feedback to extract meaningful trends, insights, and areas for the improvement.
- Conduct market research to evaluate industry trends, customer demands, and competitor analysis, providing actionable intelligence to guide product strategy.
- Design and develop process flows and user flows to ensure clear communication of system processes, user journey and enhance collaboration across the assigned teams.
- Use strong storytelling skills to effectively present findings and strategic insights to stakeholders, ensuring the alignment of business and product goals.
- Conduct Time and Cost Analysis for Vendor Selection, assisting in the evaluation of vendor capabilities, and pricing models to optimize vendor partnerships and decisions.
- Participate in product lifecycle, from ideation and design to execution and post-launch analysis.
- Development and testing of new product offerings, identifying bugs and suggesting policy-related fixes.
- Support and collaborate with development team on bug resolution and deployment of fixes for newly released software.
Analyst
HSBC Holdings PLC
Kolkata
08.2018 - 12.2020
- Conduct key due diligence for new/existing corporate clients at HSBC, ensure key compliance with current policy.
- Manage action plan for audit findings and compliance violations.
- Plan & report suspicious transactions using internal tools.
- Worked with Policy, Screening Teams, and FCC for key compliance issue resolution.
- Plan and evaluated high-risk indicators and potential money laundering, filing necessary reports.
- Researched clients using tools like Bloomberg, Forbes, Reuters, and Mint Global.
- Identified fraud through detailed document scrutiny.
- Synthesize information from multiple global sources for Risk and Compliance evaluation.
- Organize and prioritize workload effectively, handling multiple tasks simultaneously.
- Oversee incoming cases and contribute to ad-hoc projects.
- Monitor industry trends, regulatory changes and best practices to continually enhance strategies.
- Experience in leading high performance data analytics teams to deliver impact.
Customer Care Advisor
Concentrix Private Ltd
Kolkata
08.2016 - 03.2018
- Supervised a team of 20 executives, handles inbound process.
- Managed customer account and network issues, coordinating with centralized teams for resolution.
- Developed strong customer rapport, fostering loyalty and repeat business.
- Monitor and consistently met daily service level agreements as prescribed by Reliance JIO.
Process Executive
Infosys BPO Limited
Pune
06.2012 - 04.2013
- Handled client queries regarding account information and financial affairs.
- Supervised and directed workflow across four sub-departments.
- Released dividends and pay slips to shareholders, managed updates for unpaid dividends.
- Sorted assigned customer query by company, assigned codes for performance analysis.
Education
MBA - Finance
BJB Autonomous College
Bhubaneswar, Odisha07.2015
Bachelor of Commerce - Management
BJB Autonomous College
Bhubaneswar, Odisha05.2012
Higher Secondary Education - Financial Market Management
Kendriya Vidyalaya
Bhubaneswar, Odisha05.2009
Skills
- KYC compliance
- Risk assessment
- Regulatory reporting
- Cross-functional collaboration
- Strategic planning
- Leadership and decision-making
- Team building
- Stakeholder management
- People management
- Operations management
- Project management
- Analytical skills
Accomplishments
- Delivered ~9 FTE savings in 6 months by architecting and executing 'Project Synergy,' a strategic initiative to recalibrate client risk ratings and streamline periodic refresh workflows.
- Reduced trigger breach incidents significantly by designing and implementing a Path to Green (PTG) plan, strengthening compliance posture, and operational discipline.
- Developed and deployed performance scorecards and real-time dashboards that enhanced transparency, strengthened accountability, and drove measurable improvements in productivity and quality across KYC operations.
- Resolved systemic risk rating and reporting issues in collaboration with IT and data teams, improving operational reliability and regulatory reporting accuracy.
- Achieved consistent top-tier KPI delivery with zero man-hour loss in new joiner training and accreditation, contributing to regional recognition and operational resilience.
- Received 150+ client e-Thank Yous and 20+ awards during 2024–25, reflecting exceptional service delivery, stakeholder impact, and leadership excellence.
- Earned Special Recognition Award (HY1 2021) for successfully transitioning the KYC application from Poland to India and providing end-to-end technical support.
- Awarded Top Analyst (HSBC, Q3 2020) for completing the highest number of US profiles with 100% quality adherence.
- Recognized as Super Talent Achiever for two consecutive years (2016–17 and 2017–18) at Reliance Jio for outstanding performance and contribution.
Timeline
KYC Assistant Vice President
Barclays Global Service Centre
09.2024 - Current
KYC Manager
Barclays Global Service Centre
08.2022 - 09.2024
Risk Transformation - Business Analyst
HSBC Holdings PLC
02.2022 - 08.2022
Assistant Manager - KYC Business Systems
HSBC Holdings PLC
12.2020 - 02.2022
Analyst
HSBC Holdings PLC
08.2018 - 12.2020
Customer Care Advisor
Concentrix Private Ltd
08.2016 - 03.2018
Process Executive
Infosys BPO Limited
06.2012 - 04.2013
MBA - Finance
BJB Autonomous College
Bachelor of Commerce - Management
BJB Autonomous College
Higher Secondary Education - Financial Market Management
Kendriya Vidyalaya