Summary
Overview
Work History
Education
Skills
Certification
Timeline
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Pallavi Mehrotra

Pallavi Mehrotra

Bengaluru

Summary

  • A seasoned finance professional with 7.5 years of experience in AML/KYC, currently acting as a subject matter expert in resolving the cases and leading a team of six professionals for two high-impact projects: HKMA Stay Rules and Tax Reporting (FATCA, CRS, and 871m). Proficient in developing training materials, DIMs, conducting data quality reviews, and optimizing workflow management.

Overview

7
7
years of professional experience
1
1
Certification

Work History

Manager Operations - Regulatory Business Support

HSBC
Bengaluru
04.2023 - Current
  • Serving as a subject matter expert for client and product onboarding, ensuring seamless workflow management and adherence to SLAs for regulatory compliance. Addressing escalations with utmost urgency.
  • Leading a team of six professionals across two critical projects: HKMA Stay Rules and Client Tax Reporting, comprising FATCA, CRS, and 871(m).
  • Successfully drove a high-impact project for HK Stays rule, with over 6,000 clients across multiple jurisdictions.
  • Leading a remediation activity of obtaining the right tax information for the clients, successfully completed review for 428 clients.
  • Designing dynamic dashboards and reports, such as capacity management,, data quality audits, to drive team excellence and operational transparency.

Process Trainer - Team Leader

KPMG Global Services
Bengaluru
03.2022 - 04.2023
  • Designing and delivering comprehensive project training to new hires in AML/KYC and Risk domains for Rubicon project.
  • Conducting assessments, maintaining detailed performance records, identifying underperformers, and collaborating with management and HR to address challenges effectively.
  • Managing an up-to-date process knowledge repository, incorporating updates changes promptly, and delivering refresher training sessions to ensure team alignment.
  • Coaching team members to execute tasks efficiently and independently while reinforcing understanding of current policies and procedures through regular Process Knowledge Tests (PKTs).

Senior Associate - Financial Crime Operations

Commonwealth Bank Of Australia
Bengaluru
08.2020 - 03.2022
  • Conducting training sessions for new joiners on the end-to-end (E2E) Enhanced Customer Due Diligence (ECDD) process, covering individuals, public and private companies, government statutory bodies (GSBs), and trusts. Equipping team members with a thorough understanding of KYC and screening protocols to effectively identify potential financial and non-financial crimes.
  • Proactively identifying potential challenges and escalating them to senior management to ensure timely and appropriate resolution.

Senior Analyst - Risk Operations (AML/KYC)

HSBC
Bengaluru
07.2017 - 08.2020
  • Creating E2E customer profiles for MENAT jurisdiction in accordance with the HSBC Global Standards for Banks, Corporates, GSBs, and Funds.
  • Performing screening, reviewing hits to determine PEP, sanctions exposure, financial and non-financial crimes, and escalating it to the compliance and sanctions advisory team.

Education

Bachelor of Business Administration -

Jyoti Nivas College Autonomous
Bengaluru
01.2017

12th Board -

St. Xavier's School
01.2014

Skills

  • Screening tools - World Check, RDS, HUB, Lexis Nexis, Mint Global
  • Microsoft Office, Qliksense, SharePoint
  • Regulatory Knowledge, Transaction Monitoring
  • Attention to detail, problem solving, data interpretation
  • Critical thinking, ethical judgement in handling sensitive clients
  • Time management, stakeholder management, people skills

Certification

  • SAP overview I and II
  • Soft skill development

Timeline

Manager Operations - Regulatory Business Support

HSBC
04.2023 - Current

Process Trainer - Team Leader

KPMG Global Services
03.2022 - 04.2023

Senior Associate - Financial Crime Operations

Commonwealth Bank Of Australia
08.2020 - 03.2022

Senior Analyst - Risk Operations (AML/KYC)

HSBC
07.2017 - 08.2020

Bachelor of Business Administration -

Jyoti Nivas College Autonomous

12th Board -

St. Xavier's School

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Pallavi Mehrotra