Neetu Ailsinghani

• Hired and managed employees to maximize productivity while training staff on best practices and protocols.
• Developed and implemented new strategies and policies in collaboration with executive partners to establish and achieve Client Due Diligence and periodic reviews objectives.
• Identified opportunities to improve CDD process flows and productivity.
• Led restructuring and turnaround through development of People and process.
• Developed measurement tools, dashboards, and reports to track metrics on client onboarding and recertification and quality of the process.
• Established and directed successful programs focused on the training and quality .

Handle regulatory inquiries from RBI, CRS, FATCA, FIU and foreign regulators.

· Accountable for implementation and continued compliance with relevant laws and regulations (including changing regulations), policies, procedures and risk control requirements through application of consistent group practices

· Lead a 100+ team that is located across multiples locations and overseas resources to ensure adherence to local as well as group regulatory policies on client on boarding, reviews.

· Manage and coordinate all queries and matters related to transaction/screening alerts process.

· Coordinate and assist in the testing, implementation and maintenance of related AML tools and systems.

· Ensure proper escalation of transaction alerts to Country and/or Regional Compliance where appropriate.

· Research, interpret, and implement applicable regulatory procedures in the bank regarding compliance with laws and regulations.

· Write instructions for various departments on how to interpret and implement new guidelines.

· Develop remedial action plans when needed if audit findings called for action.

Provided valuable compliance advice to the business unit management regarding policies, controls, and procedures. Managed a team of 55+ members supporting AML/KYC operations for EMEA region in accordance to FCA regulatory guidelines

Updated the business unit management when regulatory requirements or regulatory environment changes.

Provided ongoing support to maintain and uphold the compliance program

Part of creation of the ICG KYC Quality team within the ICG KYC Operations that is responsible for testing Quality of KYC records. Team’s main goal is to ensure all business lines achieve targets set by regulators and internal audit.

Developed a Quality Control framework to ensure post execution AML/KYC review standard adherence •

Provided ongoing support to maintain and uphold the compliance program

Managed a team of 20 members supporting AML/KYC operations for APAC region in accordance to Fed Reserve regulatory guidelines