Mohd Saleem Khan

• Working as a Client Onboarding Specialist and Regional Head of Onboarding delegate (Global Entitlements) in Investment Banking global KYC portfolio.
• As a Client Onboarding Specialist, I am accountable for executing the New CSS enhancement for Low and Medium Risk clients, Product enhancement for all risk Low/Medium/High/Higher (for products business areas like FX-Foreign Exchange, FI-Fixed Income, Equities, ETD-Exchange Traded Derivatives), Capacity enhancement for full KYC’ed entities and Fund onboarding.
• Fund onboarding and amendment of attributes like Name change, COI, PPOB, adding products and contracting entities, establishing relationship for Agent and UPCE.
• Pre-Checks for KYC/CSS Enhancement- Client should have GMS, Valid KYC and not a part of trade restriction and offboarding pipeline, then will proceed further to full fill CIP requirements.
• For each request of Product addition and CSS enhancement the following activities will be performed on all the clients like Document sourcing, preparing of Business and Client Questionnaires, Client Outreach, Background checks, preparation of KYC Files for approval by ensuring compliance with the USA Patriot Act, Bank Secrecy Act, OFAC. as well as UBS AML CDD policies.
• Before initiating Business/Client outreach will ensure the authenticity of the documents about the client obtained from public domain, determine if leveraged information is reliable from sources such as Lexis Nexis, Bankers Almanac, Websites of Stock Exchanges, Company registries, Regulator’s websites, D & B, IAPD websites, Dealogic website for FINRA Forms, ISDA tool for EMIR etc.
• Identifying all the beneficial owners and connected parties like Ultimate Beneficial owners, Day-to-Day controllers and Authority to Act Individuals of clients and performing screening for the same only on the additional connected parties identified and ensuring all negative hits identified and disposed according to CDD policies.
• Performing the Screening through different tools (i.e., RDC, COSIMA and NMS) for identifying the Sanctions, Politically Exposed Persons (PEPs) and heightened risk individuals and organizations including the potential negative news hits across Global Client Management divisions.
• Know Your Customer (KYC) activities, ad-hoc regulatory requirement reports This includes delivering the Compliance program for anti-money laundering, anti-bribery, sanctions, Cross Border, Fiscal Compliance and related disciplines.
• Performing vetting as per Country Specific Standards including sanctions check, Negative news screening, Vulnerable business activities, PEP identification, Source of wealth, Source of funds and Identification of third party fundings if any.
• Ensuring the client and business transactions are not related to Sanctioned countries for safeguarding the bank from financial loss..

Additional Resposibility:-

• Managing the team of 5 executives in APAC Hours by providing guidance and oversight on KYC processes and procedures.
• Managing the shared mail box/Live chat channel and allocating the book of work to the available peers and making sure the live trade/Critical/Urgent/High Priority cases completed on the same day and approving same and cascading the completion status to the business.
• Acting as a back-up lead in the absence of my reporting manager and manages the APAC team.
• Got accredited as an Approver and SME for Global Entitlements/KYC team.
• Got accredited as an Regional head of onboarding delegate.
• Publishing the EMIR report to regulatory team on a daily basis.
• Maintaining the attendance/Leave tracker of whole team for all regions (APAC/EMEA/AMER).
• Collaborate and consult with peers, colleagues, managers, internal and external customers to resolve issues and achieve goals.
• Collating of Daily/Weekly MI of complete team and submitting it to the higher management on a regular basis through Tableau, calls and emails.
• Performed the testing of Japan fund onboarding through CLMT/Data portal tool which use to be onboarded manually resulting in a reduction of 20% of human efforts and increased in Average handling time.
• Point of contact for Japan onboarding team for any issues/concerns arise in terms of fund onboarding.
• Helping the projects by performing the testing on Avatar and BOT automation tools that will reduce the human efforts and time by coordinating with the development team.
• Reduced time-to-productivity for new employees through targeted training sessions and mentorship initiatives.

• CMB NTB Quality Checker in KYC Operations (Commercial Banking) dealing with business accounts opening for UK region.
• Analyzing business client data & documentation (Group structures and performing ID & VA of all Ultimate Beneficial Owners (UBO) in order to determine a client risk profile as established under the global KYC procedures.
• Identifying/verifying the directors, Key controllers & signatories of the companies through corporate search & record the KYC documentation on departmental data base and monitor the progress of pending documentations.
• Performing the required KYC screenings on connected parties and documenting the information obtained on the client's as required by global KYC procedures.
• Performing the Screening on all CPs through different tools (i.e., RDC) for identifying the Sanctions, Politically Exposed Persons (PEPs) and heightened risk individuals and organizations including the potential negative news hits across Global Client Management divisions.
• Identifying the risk indicators posed by customer with the help of Customer Due Diligence (CDD) information.
• Analyzing and identifying indicators of potential money laundering or terrorist Financing activity, Know Your Customer, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) on client accounts.

• Account opening officer in International Banking Group, New Customer Acquisition team.
• Making outbound calls (U.S.A & Canada) to new customers and assist them for opening of new NRI savings accounts.
• Helps the customers for arranging all the required KYC documents.
• Resolving the problems of the customer till the account gets activate.
• Maintained a thorough knowledge of all the banking products and services.
• Promoted to S1 grade in eye of exceeding performance parameter within a year of joining.