Nishant Sharma
Associate
Kangra
Summary
To work in an energetic way to boost the performance of an organization.
Overview
13
13
years of professional experience
Work History
Associate
Deutsche Bank
Jaipur
08.2022 - Current
- Engaged in the execution of quality checks as a member of the Global QC Team.
- Compiled reports to deliver daily updates for management.
- Conducted evaluations of new QC and KYC functionalities, ensuring approval prior to deployment.
- Excel expertise demonstrated.
- Participated in scrum meetings, providing ideas to enhance existing systems for better user experience.
- Implement 6-eye reviews for newly designated checkers.
- Facilitated productive knowledge-sharing workshops.
- Compiled and sent daily, weekly, and monthly MIS's to senior leadership and stakeholders.
- Good Knowledge of KYC
Exempt Non Officer, Compliance and Regulatory Affairs
Credit Suisse Services (India) Private Limited
Pune
02.2020 - 07.2022
- Financial Crime Compliance and Name Screening:
- Alert Assessment & Tools: Using tools such as SAMatching, Factiva, ICON party and Global Fenergo, to perform the name screening alerts generated for internal APAC investment banking and private banking clients and their associated persons against the external database i.e
- World Check, CNP, and APAC watch list
- Identifying and escalating the new potential PEP clients, reputational risk clients to the relevant specialty desks for further assessment
- Closure/Escalations: Identifying and mitigating the risk associated with the alerts generated by true matches by taking risk based approach – e.g
- PEP/SOE clients else, escalating the red flags of true matches to the relevant L3 investigations team for further detailed review, e.g
- Sanctioned clients
- Projects: Part of major projects on name screening and closed all the projects of time with quality
- Team Management: Managing a team of 5 FTEs for delivery for one of the large swiss Investment Bank
- Understanding of global AML & KYC Framework
- Ad-hoc / Organizational contribution– Investigation on Bankrupt clients and perform the exposures with our bank and escalating to Global Investigation team
- MICOS - Responsible to perform for the internal control checks and identify in case any BAU discrepancies on a quarterly basis
- Produce daily reporting, Ageing Report of team, monthly MI reports, team dashboard to higher Management
- UAT Testing: Part of UAT testing for name screening tools and other applications related BAU activities and provided regular feedback on the same to enhance the tools
Sr. Analyst (Process Supervisor)
Wipro Limited BPS
Pune
08.2018 - 02.2020
- Worked for CITI Bank project on client location and performing KYC /AML operations for APAC locations
- Working in a Periodic Review Process for low, medium and high risk clients
- Performed risk based upon Know Your Customer (KYC), Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) standards
- Responsible for creation of accurate KYC profiles on internal systems post collection and validation of information
- Coordinating with Sales team, relationship manager for Client documentation and mandatory approvals
- Client interaction and accomplishing their project related requirements and internal management for serving to the clients
Sr. Analyst (Process Supervisor)
Deutsche Bank Operations
Jaipur
12.2013 - 07.2018
- Worked for an Investment Bank KYC /AML operations for US, Singapore, Hong Kong, UK clients
- Worked in a Periodic Review Process (Client on Boarding) for low, medium and high risk clients
- Performed risk based upon Know Your Customer (KYC), Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) standards
- Responsible for creation of accurate KYC profiles on internal systems post collection and validation of information
- Coordinating with Sales team, relationship manager for Client documentation and mandatory approvals
- Responsible for regulatory compliance checks for all the banks customers
- Responsible for performing checks Name list screening (Lexis, RDC & PCR) for getting information about Money Laundering issues
- Knowledge about various Regulators, Exchanges, Registrars and Client Identification Documents of various countries
- Handling the Foreign Bank Certificate (FBC) remediation project (US patriot act)
- Handling escalations of high priority clients
- Involved in analyzing the policy and suggesting additions and/or modifications for better AML/KYC procedures within the bank
- Identified bugs while testing the launch and thereby enhanced a new software designed for integrating new clients and maintaining static data and trade details
- Worked as a SME of the process and performed 4 eyes (Quality checks) for all existing clients according to their risk level
- Provided training to all new Joiners in the team and other third party employees (TCS, HCL)
- Worked in Central Quality team (auditing all risk level clients)
- IT spoc of the team to resolving the software and hardware issues in the team
Process Executive
INFOSYS BPO LTD
Jaipur
07.2012 - 11.2013
- Worked in banking operations (BFSI)
- Performed KYC on the clients
Process Executive
INFOSYS BPO LTD
Jaipur
07.2011 - 05.2012
- To handle the project of Data cleansing and Data quality
- Worked in electronic banking centre
- Performed KYC on the clients
Education
BCA -
Himachal Pradesh University
01.2011
12th -
Himachal Pradesh Board of School Education
01.2008
10th -
Himachal Pradesh Board of School Education
01.2006
Skills
- Work Planning and Prioritization
- Problem-solving abilities
- Project reporting
- Production support
- MS office
- Process improvement
- Preparing reports
Abilitiesandattitude
- Quick learner
- Disciplined
- Open-minded
- High motivation to learn
- Responsibility-taker
- Team player
Hobbies and Interests
- Basketball
- Cricket
- Chatting
- Travelling
Significanthighlights
- Received many times 'Spot Award' for best performance
- Received numbers of times 'Employee of the Month' for best performance
Personal Information
- Father's Name: Naresh Sharma
- Date of Birth: 02/05/91
- Gender: Male
- Nationality: Indian
- Marital Status: Married
Timeline
Associate
Deutsche Bank
08.2022 - Current
Exempt Non Officer, Compliance and Regulatory Affairs
Credit Suisse Services (India) Private Limited
02.2020 - 07.2022
Sr. Analyst (Process Supervisor)
Wipro Limited BPS
08.2018 - 02.2020
Sr. Analyst (Process Supervisor)
Deutsche Bank Operations
12.2013 - 07.2018
Process Executive
INFOSYS BPO LTD
07.2012 - 11.2013
Process Executive
INFOSYS BPO LTD
07.2011 - 05.2012
BCA -
Himachal Pradesh University
12th -
Himachal Pradesh Board of School Education
10th -
Himachal Pradesh Board of School Education
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