Summary
Overview
Work History
Education
Skills
Certification
Languages
Timeline
Generic
MOINUDDIN

MOINUDDIN

New Delhi

Summary

Effective at directing, monitoring, and inspiring team members to complete accurate and timely investigations and reports. Meticulous compliance investigator offering years of experience in the field and enterprising, diligent style. Creative and critical thinker with strong innovative problem-solving skills. Successful investigating large recordists to make accurate evaluations of structures and practices. Versed in applicable audit processes and procedures. Familiar with identifying urgent red flags and taking the proper steps in documenting the evidence discovered. Passionate about exceeding the standard quality and ensuring high-quality standards are maintained for AML/KYC. Experienced in reviewing financial documents and digital records. Complete accurate and timely investigations and reports. Talented in training employees, solving complex problems and making sound decisions. To seek and maintain a full-time position that offers professional challenges utilizing interpersonal skills, excellent time management and problem-solving skills. Hardworking and passionate AML Investigator with strong organizational skills eager to be team player to achieve company goals.

Overview

7
7
years of professional experience
1
1
Certification

Work History

Senior Analyst Customer Service & Operations

NatWest Group
02.2022 - 01.2023
  • Performing KYC due diligence on Conversions, Remediation and/or Periodic Reviews.
  • Validate information within KYC records and Customer Identification Program (CIP) documents to ensure completion and accuracy.
  • Create and maintain KYC records by obtaining information from internal and external sources (firm website, regulatory websites, etc.).
  • Performing checks on AML/CDD on all customer types with different legal entity types (Trusts, LLC's, Partnership Firms, Sole trader Corporations, NBFI, SPVS, Mutual Funds, Hedge Funds, Private Equity, Bank, IMC etc).
  • Prepare and file Suspicious Activity Reports ("SAR") for escalated activity .
  • Conducting suspicious activity investigations, currency transaction reporting, global sanctions screening, enhanced due diligence or other AML processes.
  • Review negative news and OFAC/Watch List/PEP alerts generated by automated systems.
  • Review and detect transactional alerts from transactional activity (including wire transfers, checks, security transactions, trade finance letters of credit, loans and cash letters).

Associate Ops AML Transaction Monitoring

WNS Global Services
10.2020 - 09.2021
  • Perform name and account-based research on lists and reports provided through established resources to determine if evidence of money laundering activities exists.
  • Prepare required reports including Suspicious Activity Reports (SARs), following regulations and time limitations and recommend relationship retention or termination.
  • Evaluate transactions and customer relationships for Money laundering activities, identifying red flag issues and escalates within AML framework for further investigation.
  • Provide additional support with AML compliance organization on more complex issues, including research techniques and capabilities, as well other solutions as appropriate.
  • Draft AML Compliance training guides to reinforce knowledge on key information and policies Solicited feedback from attendees, ensuring full understanding of material presented Review negative news and OFAC/Watch List/PEP alerts generated by automated systems.
  • Review monthly and daily transaction alerts, client trading activity, client file review, conduct due diligence searches and metrics.
  • Collect and examine financial statements and documents to assist in identifying unusual transaction patterns. Document all research and analysis conducted in Case Management System.

KYC Associate

Pronto Consultancy Services
11.2015 - 09.2020
  • Conduct thorough KYC checks on new and existing customers to verify their identity, assess risk levels, and ensure compliance with regulatory requirements.
  • Review, analyze and validate customer documentation, including identification, financial statements, corporate structures and beneficial ownership information - ensuring compliance with internal procedures.
  • Collaborate with internal stakeholders, such as Business Development and Operations teams, to streamline the Onboarding process while maintaining compliance standards.
  • Review screening results for Politically Exposed Person (PEP), Sanctions and Adverse Media and analyze the results to eliminate or confirm matches.
  • Identify potential AML concerns and escalate to appropriate senior management during the on-boarding and ongoing review process.
  • Performing holistic due diligence reviews in support of Corporate KYC and BSA/AML policies and procedures Performs Quality Assurance (QA) review on work of AML analysts
  • Performs case repair on deficient cases treated by alert analyst or case analyst
  • Responsible to conduct in-depth research to assess and determine if allegation(s) meets criteria of Enterprise Investigations
  • Ability to make timely and independent decisions while working in fast-paced and results driven environment Strong organizational, multi-tasking, and prioritizing skills Conducted KYC formality reports on questionable accounts and transactions
  • Adjusted end-to-end KYC process needs to align with workforce capabilities
  • Reviewed various KYC processes (KYC includes Customer Identification Program (CIP), beneficial ownership, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD).
  • Responsible for CIP/KYB verification of small to medium-sized business customers. This includes using 3rd party web verification sources to verify supplied business information/documents to ensure that internal policy and procedures, as well as regulatory requirements, are met.

Education

MBA - Finance

Maulana Azad National Urdu University
Hyderabad, India
09.2015

BBA - Business Administration And Management

Magadh University
Bodh Gaya, India
07.2010

Skills

  • AML/KYC Regulations
  • Customer Due Diligence (CDD)
  • Enhanced Due Diligence (EDD)
  • AML/OFAC/FinCEN Regulatory Policies
  • LexisNexis, Actimize, WorldCheck, Factiva, Bloomberg, Fenergo, DNB, RDC
  • Risk Analysis & Management Business Risk Assessment & Analysis
  • Compliance, Audit, and Investigation
  • Report Writing
  • MS Office (Excel, word, & PowerPoint)
  • Analytical and Critical Thinking
  • Team Player
  • Sanctions, Embargo, Payments, Swift Messages, Transaction Monitoring, Quality Check, Quality Control, Quality Assurance, Team handling, Fraud Investigation & Monitoring, Fraud & Risk Management, Quality Audit, MIS & Reporting, compliance with accounting policies and procedures, Monitor customer accounts for overdue payments

Certification

  • Certified Anti-Money Laundering and Combating Terrorism Financing from Udemy (2023)
  • Certified Tokenization and Encryption in Digital Payments, FinTech from Udemy (2023)
  • Certified Blockchain A-Z™: Learn Blockchain, Cryptos & Smart Contracts from Udemy (2023)

Languages

English
Bilingual or Proficient (C2)
Hindi
Bilingual or Proficient (C2)

Timeline

Senior Analyst Customer Service & Operations

NatWest Group
02.2022 - 01.2023

Associate Ops AML Transaction Monitoring

WNS Global Services
10.2020 - 09.2021

KYC Associate

Pronto Consultancy Services
11.2015 - 09.2020

MBA - Finance

Maulana Azad National Urdu University

BBA - Business Administration And Management

Magadh University

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