Neeta Gunjal
Team leader Assistant Manager AML KYC TM
Pune
Summary
Having experience in KYC verification,CDD , EDD, customer risk profiling Team leader - Assistant Manager leading AML operations for US-jurisdiction client work, with ownership of transaction monitoring, KYC queries, and alert triage. Coordinates investigations with client and internal teams, enforces SLA and quality metrics, and delivers onboarding and process-change training to keep the team compliant. Supports recruitment, performance reviews, billing inputs, and escalation management across the process. Dynamic individual with hands-on experience in KYC and talent for navigating challenges. Brings strong problem-solving skills and proactive approach to new tasks. Known for adaptability, creativity, and results-oriented mindset. Committed to making meaningful contributions and advancing organizational goals.
Overview
3
3
Languages
20
20
years of professional experience
Work History
Assistant Manager
Tata Consultancy Services
2023.06 - Current
- Lead client coordination for AML operations covering US jurisdiction, acting as primary point of contact for transaction monitoring and KYC-related queries.
- Oversee daily transaction monitoring requests, triage alerts, and coordinate investigations with client and internal teams to ensure timely resolution.
- Manage team training and development: design and deliver onboarding and process-change sessions to maintain compliance and quality standards.
- Partner with Delivery and Quality teams to enforce SLA adherence and quality metrics; implement corrective actions to address gaps.
- Support recruitment and interviewing for the process; assign tasks, set goals, and conduct performance reviews and appraisals.
- Assist in project billing and review P&L inputs; report operational progress and escalations to senior management.
- Maintain daily attendance, manage shrinkage, and resolve complex operational issues and escalations.
Operations Manager
SageOne Investment Managers LLP
2022.08 - 2023.05
- Managed end-to-end account onboarding (PMS, custody, Demat) for individual, non-individual and NRE clients, ensuring KYC completeness and regulatory compliance.
- Performed KYC due diligence and KYC refresh activities; identified missing documentation and coordinated with relationship managers to close gaps.
- Conducted distributor empanelment and managed distributor communications, periodic reporting (PMS/AIF), and credential provisioning for new accounts.
- Implemented Zoho setup and operational workflows to streamline client servicing and reporting.
- Coordinated with custodians and internal teams to resolve custody and funding queries within defined TATs; managed redemption and payout confirmations.
- Ensured adherence to regulator and organizational guidelines and supported audit and compliance requests.
Operations Manager
Kotak Securities Ltd
2006.12 - 2022.07
- Led branch and franchisee operations, including account opening (equity, commodity, derivatives), terminal activation, and franchisee onboarding and training.
- Managed client servicing for HNI and ultra HNI clients and supported sales & dealing teams with operational requirements.
- Maintained MIS, CRM updates, and reconciliations; handled pay in/pay out processes and margin collections.
- Liaised with Legal, Compliance, Accounts, AMCs, RTAs and third party distributors to resolve operational and regulatory issues.
- Implemented process controls to maintain credit standards, reduce operational errors, and ensure smooth branch operations.
- Delivered training to franchisee operations staff on systems (BOSS, CRM) and SEBI compliance requirements.
Education
M.Com - undefined
A.C.S. College Pune
Pune2018-01
Skills
Know your customer (KYC)
Financial crime compliance (FCC)
Enhanced due diligence
PEP risk assessment
Customer risk profiling
Investigation coordination
Training delivery
SLA management
Quality assurance reviews
Audit response management
Timeline
Assistant Manager
Tata Consultancy Services
2023.06 - Current
Operations Manager
SageOne Investment Managers LLP
2022.08 - 2023.05
Operations Manager
Kotak Securities Ltd
2006.12 - 2022.07
M.Com - undefined
A.C.S. College Pune