Neeraj Kumar
Manager Compliance
Nagpur
Summary
Seasoned Banker with 12 years of experience working collaboratively with top leaders and staff to optimize adherence to policies, procedures, standards and regulations. Well-versed in comprehensive analysis of operations, process improvement recommendations and best practice introduction. Certified in CAMS
Overview
13
13
years of professional experience
5
5
years of post-secondary education
Work History
Manager Compliance
Mashreq Global Services ( Subsidiary of Mashreq Bank)
Benguluru
11.2021 - Current
- Assist in development and implementation of an effective independent Quality Assurance framework across Compliance Function including international locations.
- Execute periodic reviews as part of monitoring & testing to ensure Bank’s internal procedures/policies remain compliant; providing guidance as necessary.
- Track implementation of recommendations & regularization of exceptions, if any, identified during periodic assessments.
- Exchange insights and best practices.
- Provide necessary guidance to other compliance units in finalizing the relevant procedures of their respective unit.
- Assist Head Office Compliance in annual review & update of Compliance Policies – Banks’ AML/ KYC/ Sanction and ABC Policy.
- Promote positive compliance culture across the Bank. Track adherence to planned trainings submitted by ECFs. Also, liaise with ECFs to ensure that learnings from periodic assessments / regulatory updates are incorporated in training materials (as necessary).
- Assist Unit Manager & Group Head of Compliance in the implementation of strategic initiatives.
Represent Compliance in any project as directed by Unit Manager/ Head of Compliance.
Assistant Governance Manager ( Business Banking )
Mashreq Bank
DUBAI
02.2018 - 11.2021
- Develop and manage internal control and governance standards for customer onboarding in SME segment
- Develop and manage portfolio monitoring and governance with focus on online channel usage, KYC accuracy and site visits
- Focus on high risk customers for patterns etc
- Ensure that the KYC alerts and client profile are validated and required actions taken
- Review, monitor and control departmental high risk items such as MER, ONR and deferrals
- Implement compliance requirements laid down by central bank guideline.
Sr. Customer Service Officer
Mashreq Bank
DUBAI
07.2011 - 02.2018
- Managing service needs of all CIBG(corporate and investment banking group) & SME(small and medium enterprise) includes WPS and Non WPS salary transfer for their employee
- Adhere to all policies with regard to KYC/ AML as set out by the bank from time to time.
Financial Planner
Mashreq Bank, PSC
DUBAI
11.2010 - 07.2011
- Ensures all components of the Key sales process is used during client interaction
- Develops new and expands existing client relationship by participating in business development activities, proactively reviewing client's current and changing financial needs, and promoting products and services
- Analyzes personal and financial data to deepen current, profitable client relationships
- Keeps clients informed of products, services, special promotions, and provides appropriate financial solutions
Associate Financial service Manager
ICICI PRUDENTIAL LIFE INSURANCE PVT LTD
DUBAI
03.2009 - 05.2010
- Education via consultative review and proactive contact, Focusing on product visibility to distributors & retailers thereby increasing sales of product range
- Building & maintaining relations with clients, generating business from the existing accounts and achieving profitability & increased sales
- Interfacing with the clients for suggesting the most viable product range and cultivating cordial relations for securing repeat business
- Channel Management: Managing 3 Corporate Channels
- Team Management: Managing a team of 50 Referral
- Partners.
Health Assurance Trainee
ICICI PRUDENTIAL
Mumbai
07.2008 - 12.2008
- Manage a team of Doctors to market a wide range of
- Health insurance products to individual clients
- Empanelment of new clinics in Mumbai area for Business as well as for Policy medicals also Implementing sales promotion activities in Clinic and hospital.
Education
ACAMS : AML
Certified Anti-Money Laundering Specialist
07.2020 - 07.2020
Post Grad - Management And Insurance: Insurance And Management
SIESCOM
07.2007 - 07.2008
Bachelor of Engineering - Mechanical
Government College of Engineering
08.2001 - 07.2005
Skills
Industry knowledgeundefined
Timeline
Manager Compliance
Mashreq Global Services ( Subsidiary of Mashreq Bank)
11.2021 - Current
ACAMS : AML
Certified Anti-Money Laundering Specialist
07.2020 - 07.2020
Assistant Governance Manager ( Business Banking )
Mashreq Bank
02.2018 - 11.2021
Sr. Customer Service Officer
Mashreq Bank
07.2011 - 02.2018
Financial Planner
Mashreq Bank, PSC
11.2010 - 07.2011
Associate Financial service Manager
ICICI PRUDENTIAL LIFE INSURANCE PVT LTD
03.2009 - 05.2010
Health Assurance Trainee
ICICI PRUDENTIAL
07.2008 - 12.2008
Post Grad - Management And Insurance: Insurance And Management
SIESCOM
07.2007 - 07.2008
Bachelor of Engineering - Mechanical
Government College of Engineering
08.2001 - 07.2005
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