Nandan Sheshgir

• Working as Maker for my team supporting US Client- MORGAN STANLEY, since 03rd March, 2025 to till date.
• Job Roles and Responsibilities:
• Performing KYC for New to Bank Client of APAC region KYC programs and Regulatory Classification.
• Supported as Internal Reviewer for Periodic reviews team for US KYC Programs. Responsible for daily line of business calls, ensuring that the queries & escalations get resolved, daily allocation and monitoring on completion of cases.
• Ensure the appropriate collection of required information and documentation for new and existing clients to effectively support the firm's KYC program.
• Review documents and information to perform client due diligence periodic reviews on High risk,Low risk and Medium risk customers.
• Partner with the Business Units, including and KYCS, BU Sales, GFC to appropriate periodic processes are enacted while providing a positive client experience.

• Conduct due diligence and know your customer (Kyc) research for clients as part of the client identification for Canada based financial institution (Bank).
• Analyze accounts and client information according to prescribed internal control policies and procedures.
• Coordinate and collect client specific information for new client onboarding.
• Perform ongoing customer due diligence including maintenance and updating of aml kyc records for existing clients.
• Identify and escalate suspicious or unusual matters for further investigation.
• Foster strong relationships with key internal business stakeholders.

• Responsible for quality checks of KYC remediation and screening.
• Assigning work items to team members and monitoring the progress.
• Work closely with relationship managers and onboarding team to understand the missing identification documents and source of Wealth information.
• Preparation of metrics on weekly basis and circulate to management.
• Assess areas of process and system improvements and provide potential solutions to management.
• Perform day to day profile reviews and provide ongoing performance feedback to production team.

Screening, Fraud Investigation, ID&V and Transaction monitoring * UK Client
Job Profile: Risk Consulting

• Spearheaded risk consulting initiatives for banks, demonstrating adept project management skills.
• Ensured compliance with regulatory frameworks, including RBI and FATF guidelines, through comprehensive gap assessments.
• Developed and executed strategic remediation plans, addressing identified gaps and vulnerabilities to enhance overall risk management.
• Provided expert recommendations based on in-depth analysis, contributing to the establishment of robust risk mitigation strategies for clients.

KYC:

• Performing all types of screening for the Individuals and entities.
• Performing screening for PEP, Sanctions, and negative media screening
• Discounting the hits with appropriate rational for all types alerts generated from screening
• Performing identification and verification for Individuals.
• Reaching out to the clients through initial letter for KYC documents in case of insufficient details in the system.

Anti-money laundering/Transaction monitoring Investigations - United States
Job Profile:

• Supporting & assisting the team in decision making for alerts which resulted in a significant reduction in errors.
• Point of Contact with On-shore team for any procedural changes and updates and supporting team in implementation of the same.
• Responsible for daily Quality Checks to be performed on behalf of TL and also managing team's performance Metrics in absence of TL.
• Responsible for Allocation of work amongst the team and performing daily and weekly MI reporting and sharing the same with higher management.

KYC Job Profile:

• Perform the required KYC screenings on customers documenting the information obtained on the client's as required by global KYC procedures.
• Conduct research to verify information on new account documents.
• Ensuring and reviewing all the KYC requirements for the clients in the company.
• Conduct comprehensive research, using GOOGLE and LEXISNEXIS to establish company profiles and request KYC information from clients.
• Update KYC profiles in accordance with Group Policy, which includes undertaking due diligence and obtaining documents as required from the client/Relationship Manager (RM).

Job Profile:
Financial Crime Compliance Operations (FCC Ops)-Name screening

• Processing alerts generated through the SCDM system (Security and Compliance data matching) logic for existing and new customers of the HSBC bank against defined sanctions, terrorism, and any regional local lists in adhere to AML and Sanctions policies and procedures to ensure that the suspicious activities are reported to authorities in accordance with AML and Sanctions regulatory requirements. The main objective is to curb money laundering and comply with the sanction's provisions and we identify "politically exposed person"(PEP) who has higher risk for potential involvement in bribery and corruption and screen against bank customers and Our customers also categorized as "SCC" Special Category customers who pose the high risk to the bank that is when we do KYC checks.

Responsibilities:

• To review and action all alerts and hits on the HBME SCDM queue.
• To review the KYC site where our customers (Special Category Customers) details are updated and ensure the details are mentioned in our bank.
• We conduct the research on KYC site to check the Customers ID details like, passport copy validity and Visa validity.
• Follow up to make sure all documentation for new accounts meets the know your customer (KYC) requirements.
• Escalate high-risk accounts with missing records to the relevant internal unit.
• Assigning alerts to the staff considering the business SLA as per agreed with the client.

• (Payroll team) - Australian Superannuation

• Officer - Banking Operations