Manish Uniyal
Gurugram
Summary
Experienced banking professional with a comprehensive background spanning 7+ years in the industry specializing in anti money laundering, transaction monitoring and Exposure in spearheading the entire AML function, KYC,Enhanced Due Diligence (EDD), Customer Due Diligence(CDD), Sanctions, Transaction Monitoring, Regulatory Reporting.
Overview
7
7
years of professional experience
Work History
Analyst
NAB(National Australian Bank)
Gurugram
08.2023 - Current
- Performing due diligence checks for new and existing customers and conducting periodic reviews to verify their identities, assess risks and ensure compliance with KYC regulations.
- Customer Due Diligence: Conducting customer due diligence to verify client identities and evaluate transaction-associated risks. My role involves complete working on Sanction Screening, Periodic Reviews on both Entities, and Individual cases.
- Exposure in spearheading the entire AML function, KYC,Enhanced Due Diligence (EDD), Customer Due Diligence(CDD), Sanctions, Transaction Monitoring, Regulatory Reporting.
- Conducting AML screening, CDD, EDD on individuals and entities, and also reviewing existing clients.
- To verify the UBO form and identify the person exercising the control over entity.
- The team also investigate Onboarding KYC of clients for both Entities, and Individual cases and checking Annual Reports, UBO documentation, Financial statements.
Senior Analyst
Barclays
Noida
03.2018 - 08.2023
- Assist and Provide information to support Suspicious Activity Reports (SAR) for regulatory filing and off boarding the customer who are out of Risk appetite.
- Preparation of SAR (Suspicious Activity Report) and DAML(Defence against money laundering) by performing complex analysis, investigation of cases and external profiling.
- Investigate source of wealth (SOW) and source of funds (SOF). Check for KYC, Court orders, and Watchlist.
- Period Review of High-Risk customer and forwarding the alerts to next level with suggestion as what decision has to be made on the account.
- Responsible for performing Customer Screening and payments screening for Barclays Client in meeting all the SLAs.
- Tools used Sales force, For tent, Triumph, watch list screening OEDQ, OWS, Full serve, Firco soft, World check, Mortgage gateway, MS excel
- Identify Politically Exposed Persons(PEP) sanction connections and other red flags and highlighting them.
Associate
Concentrix
Gurugram
03.2017 - 02.2018
- Providing help and advice to customers using organisation's products or services.
- Verifying KYC Documentation of new and existing clients covering entity and individuals.
- Refer and escalate matches according as stipulated in the working instructions to originating business unit and relevant compliance department.
Education
Bachelor of Computer Applications - Computer
Graphic Era Deemed University
Dehradun Uttarakhand06-2013
Skills
- AML Compliance
- Know Your Customer
- Transaction Monitoring
- Fraud Detection
- Customer Due Diligence
- SAR and Fraud related management
- CDD/EDD
Accomplishments
*Super Star of the month in productivity in Barclays – top achiever for consecutive two months- May and June 2020. Topper of the team in highest productivity (2019; 2020)
*Have been recognized with Living Our Values for completing TAT within time frame.
*Have been a part of the testing phase of the upgraded version of OWS which is Oracle Watchlist
Screening application used in Customer Screening.
*Have been taking care of One of the queues – named – Wealth Sanctions wholly solely
and have been recognized for reducing its aging.
*Given floor support to the new colleagues.
Languages
Hindi
First Language
English
Intermediate (B1)
B1
Affiliations
- Badminton
- Travelling
Timeline
Analyst
NAB(National Australian Bank)
08.2023 - Current
Senior Analyst
Barclays
03.2018 - 08.2023
Associate
Concentrix
03.2017 - 02.2018
Bachelor of Computer Applications - Computer
Graphic Era Deemed University
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