Mukesh Kumar Gupta

• Reviewing as2nd level of defense on all kind of Institutional Client as New Onboarding, Ongoing Renewals, Remediation and Exit of Client for Netherland and Belgium Jurisdiction
• Performing all kind of AML - KYC work related to Onboarding and Ongoing Due Diligence also deals with Client who trades in Crypto Currency
• Coordinate with Internal Audit Team, Regulatory Bodies, difference market LOB heads and QA Team for enhancing & aligning policy & procedure and risk related to AML, KYC and Transaction Monitoring
• Assisting product team in designing new product adhering to regulatory guideline and policy compliant
• Enhance and enhanced the tool on which teams work as per Audit guideline
• Improved operational efficiency with effective resource management.
• Conducted performance evaluations for fostering professional growth and development.
• Improved team performance by introducing targeted training programs.
• Established key performance indicators for tracking progress and success.
• Managed and motivated employees to be productive and engaged in work.
• Developed a strong company culture focused on employee engagement, collaboration, and continuous learning opportunities.
• Built high-performing teams through effective recruitment, onboarding, and talent development initiatives.

• Led Compliance Team (QA Team –2nd Line of Defense): Conducted QC Calibration, Collaborated with QC teams, applied action plans for enhanced team performance, exceed quality and production goals, adherence to procedures and policies, and maintained the highest quality standards for KYC, CDD & Enhanced Due Diligence (EDD), Extensive OFAC & Sanction screening, PEP Screening, FATCA & CRS case work
• Collaboration with Analysts for training needs, Process improvements and project enhancements, Achieving the benchmark quality standard for QA Team, Managing reporting and metrics, fostering effective communication and feedback, Facilitate team meetings and promote a collaborative environment, Delivered training and guidance to the team, minimizing regulatory and reputational risks, fixing procedure gap, Conducted detailed quality reviews, improving AML/CDD compliance, Collaborated with stakeholders, influencing quality improvements and risk mitigation, Meeting & exceeding quality and quantity targets
• Proactively liaise with Internal Procedure Team to get the policy in Sync with regulatory requirement
• Support & act as mediator with local FCC Team and Global Financial Crime team for timely disposal of KYC requirement to onboard the new client & in ongoing renewals of Clients
• Perform and assist Team Members in preparing of Customer Due Diligence, exhaustive Enhance Due Diligence, Simplified Due Diligence, Local Due Diligence, Country Due Diligence on all types of clients which is listed below
• Capturing all the negative news, Clients SOW, SOF, PEP, Media Sting in EDD
• Analyzing and effectively assess the potential risk, Regulatory Risk, OFAC & Sanction Risk and Reputational risk of client as a holistic view and preparing the report and sharing with Local & Global Compliance head
• Directed back-office ops: Focused on KYC Due Diligence for Client Onboarding/Off Boarding & Renewals in Global Markets, ensuring quality across varied cases like Private, Public, NBFI, Banks, Funds, Government Organization, Not for Profits Organization, Cash Intensive Business, SPV, Partnership, Client deals with Crypto Currency, Client trading in Crypto Currency, Trust, Non-Operating Asset Holding Companies, OTC, HNI Clients etc
• Perform and assist Team in end-to-end investigations by ensuring that all prescribed investigative / operating methodologies for the various types of investigations are adhered to and by conducting proper planning on all investigations and sharing the thorough investigation report to LOB's head and stakeholders
• Obtain all relevant evidence related to an investigation
• Scrutinize /analyze the evidence and make meaningful observations and conclude regarding the findings and make appropriate recommendations to adhered to the compliance policy & procedures and implement the strict procedure which adheres to company and regulatory procedure
• Worked with Automation Teams to optimize processes: Active UAT involvement, Contributed to User Acceptance Testing, Supervised work schedules, software evaluation, and tackled issues
• Presented key metrics and reports, including Performance Review Boards, Volume Forecasting, CAP Models, and Operational Review Dashboards to Business and onshore counterparts
• Assessing & investigate meticulous review on all trade-based transaction and lending fraud typologies, placing control in place to mitigate future fraud
• Also, keep abreast track record of the regulatory change and the impact of change
• Also, communicating & Collaborating to the other stake holders like Onboarding Team, Business Heads, LOB Directors, Sales team, Fund Team, head of Trustees Services, Head of Fiduciary Services Team to stick to the regulatory change and if required, change the review process
• Assessing & investigate meticulous review on all trade-based transaction and lending fraud typologies and placing control in place to mitigate future fraud
• Screening of each kind of transaction related to Bill of lading, Invoices, Agreement between the parties, End to end Screening of the Remitter and Beneficiary, and screening of their KYC document, Payment towards Charity, NGO, Banks, Funds, Loans, Fund Subscriptions, Investments in SPVs, Investments in Real Estate, Business related transactions, Transaction to advocate for legal fees, letters of Credit Bill, Shipping Bills, etc.
• As Compliance Manager mitigate the risk on Transaction and provide approval for Trade & Transaction to different countries
• Assisting Team in mitigation of the risk while transaction screening & Transaction Monitoring
• End to End screening of the Remitter and Beneficiary, and screening of their KYC document
• As Compliance Manager mitigate the risk on Transaction and provide approval for Trade & Transaction to the sanction countries or Very High-Risk Countries adhering to OFAC & Sanctions Trade based license
• Strict monitoring on the Trade Based Transaction to the sanction countries

• Managing SMEs of2nd Line of Defense Team for a day in and day out of volumes, any spike in volume, Utilization, and production of the Team, SLA, TAT, Regulatory Report Due Records, Quality Report, providing weekly reports on Quality to Maker group, Managing Attrition of the Team, Performance Appraisal, Managing Capacity Planning of the Team, Managing Skill/Learning Metrics of the Team

Providing360-degree feedback to the Team members at regular Intervals, Managing training sessions with QC Team on QA rejection

• Manage governance call, Prepare for Audit reports/Audits fail to record
• Organizing Training for the Team, fixing procedural knowledge gap, Allocation of work among the Team, Setting Goals and Priorities for the Team
• Implement transparency in Team, Arranging and conducting Governance call by presenting facts and figures, Delivering of Ad hoc projects on timely manner, tracking closely on deliverables and sign off the projects
• Supporting COLT Application in testing or any changes in the COLT application
• Supporting and co-ordination in Project Management whenever it required to complete the project management on time by connecting through different stakeholders
• Having Global Exposure in performing end to end KYC Checks across region like NAM, EMEA & APAC on on-boarding and Renewals with Global LDDs with SpDD for different types of risk level of clients as high/medium/low client for different types of reviews like New, Renewal, Onboarding, Off-boarding, Ad hocs for all types of Clients like Private Client, Public Traded , TRUST, Non-Operating Entities, FUND, NBFI, FINTECH, Client trades in Crypto Currency, HNI etc
• Assisting Transaction Monitoring Advisory Team in terms of Regional Oversight on AML Program related to transaction monitoring and suspicious transactions investigations for Customers
• Excellent skills in sourcing information from regulatory websites, stock exchanges, company registers, etc
• Assign risk rating to the client's basis of their jurisdiction, Nature of business & other factors
• Perform regular checks on customers' overall profiles, services & products offered
• Perform dipstick checks at regular intervals & make sure the cases are processed as per internal policy & procedures
• Risk and Control:
• Directed access-related queries and quarterly access certification for applications
• Led local admin activities for Global Absence Tracker
• Ensured adherence to risk standards, policies, and regulations for an effective control environment
• Served as an escalation point for the AML/KYC team on controls related issues
• Assisted in preparing standard operating procedure documentation and conducting root cause analysis
• Collaborated with Corporate information security and Business information security teams for Business Continuity Planning (BCP)