Pawan P.V.J
Pune
Summary
Results-driven financial crime expert with experience in banking and AML/KYC domains. Proven track record in managing risk, ensuring regulatory compliance, and leading teams. Certified Anti-Money Laundering Specialist (CAMS) by (ACAMS) and ICA Certified.
Detail-oriented Assistant Manager offers more than extensive progressive record of accomplishment in leadership roles. Establishes clear guidelines and enforces consistent policies to keep staff satisfied and on-target to achieve important objectives. Excellent relationship-building, multitasking, and decision-making skills.
Overview
13
13
years of professional experience
1
1
Certification
Work History
Asst Manager - Financial Crime Consultant
Barclays
Pune
08.2024 - Current
- Assess, Analyze and Act on transactions from automated and manual and automated Transaction filtering processes against the applicable global and local lists
- Perform investigation on AML - Transaction monitoring alerts generated on retail
- Ensuring all alerts actioned in appropriate manner within agreed procedure standards
- Screening all Incoming and Outgoing transactions to ensure that there are no financial crime concerns
- Investigating all swift messages as per Bank's Economic and Trade Sanctions policy, Anti-Money Laundering, and Trade Sanctions
- Provide training to staff and get them accredited.
- Worked on Automation tool project to enhance the TM tool and process.
- Coordinated team schedules to ensure optimal coverage and service delivery.
Team Lead
AML Rightsource
Kolkata
05.2023 - 07.2024
- Prepared due diligence commentary that demonstrated a complete analysis and assessment of the client's transaction Activities.
- Running background checks, employee investigations, and asset searches on suspected culprits.
- Implemented and setup a new project in India successfully by creating required procedures and streamline the process by recruiting staff, training and successfully aligned the process with stakeholder requirement within specified deadline.
- Worked across departments to bring about one call resolution for the clients.
- Evaluated employee skills and knowledge regularly, training, and mentoring individuals with lagging skills.
- Coached team members in techniques necessary to complete job tasks.
- Trained new team members by relaying information on company procedures and safety requirements.
- Established open and professional relationships with team members to achieve quick resolutions for various issues.
- Assisted in recruitment to build team of top performers.
- Educated staff on organizational mission and goals to help employees achieve success.
- Developed training materials for onboarding new compliance staff members.
- Coordinated workflow processes to ensure timely completion of compliance reviews.
- Implemented process improvements to enhance operational efficiency within the team.
AML-KYC Compliance Specialist
Citi
Chennai
08.2022 - 04.2023
- Assist Citi on KYC efforts in accordance to the Cards Support and Service Unit (CSSU) procedures.
- Perform KYC reviews (Scheduled & Unscheduled Reviews) including monitoring and tracking of KYC records, assisting with the development and execution of action plan for expiring records, and ensuring records are not past due.
- Determining if the accounts are in scope.
- Client Identification, Verification and Screening.
- Information such as customer's address, employment (including employer), connectivity.
- Partner with internal units to ensure adequate due diligence process is carried out for customer accounts and documentation reviews.
- Ensure all information and documentation comply with local regulation and Citi standards.
- Send the requests to Outreach/RM for accounts where information is required to complete the review.
- Any suspicious product usage from AML perspective gets highlighted to senior management for further reviews promptly.
- Ensure to maintain quality standards (90% and above) for the KYC reviews undertaken.
- Ensure any tech issue/procedural clarifications gets highlighted to managers for further review and guidance.
- Ensure to get Quality Control (QC) review done on files prior to submission and respond/correct any discrepancies identified during QC reviews.
- Submit record for Business Approval once review is complete and respond/correct any discrepancies identified during BA reviews.
Senior QC Analyst/Team Leader
ANZ
Bangalore
02.2019 - 08.2022
- Conducted quality control inspections on banking products and services.
- Analyzed data to ensure compliance with industry standards and regulations.
- Collaborated with cross-functional teams to identify process improvements.
- Monitoring and analyzing case to identify possible patterns of Money Laundering, Terrorist Financing, OFAC sanctions relations to dispose the cases or escalated to SAR team as SAR ready case
- Trained new staff on quality assurance protocols and procedures.
- Collaborated with production teams to create innovative stage designs and concepts.
- Maintained updated knowledge through continuing education and advanced training.
- Provided training and support to junior team members on monitoring processes.
- Coordinated with law enforcement on cases of suspected financial crime.
- Provided guidance on compliance regulations related to transaction monitoring.
Regional Risk Manager
ICICI Bank
Kharagpur
05.2013 - 08.2018
- Hands on experience in Finacle 10x, I sence, Due Diligence, Customer Due Diligence.
- Transaction monitoring on high value transactions.
- Collaborated with teams to identify potential operational risks across regions.
- Led training sessions on risk management protocols for staff members.
- Branch operation
- Implemented process improvements to streamline operational workflows effectively.
- Developed and enforced branch policies to ensure compliance and safety standards.
- Facilitated communication between departments to enhance operational efficiency.
Education
MBA - Marketing and IT
Future Management College
BCA -
NSHMcollege
Intermediate -
Board of Intermediate Education
Skills
- Transaction monitoring
- AML compliance
- Financial investigation
- Team leadership
- Training development
- Quality control
- Project management
- Team collaboration
- Staff training
- Effective communication
Certification
- Certified Anti-Money Laundering Specialist (CAMS), Globally recognized credential demonstrating expertise in AML practices and regulatory compliance
- Post Graduate Diploma in Banking and Finance, IMA, Bangalore
Awards
- Star performer, 14 months
- Best Service Manager Award, 2015
- Best team lead award in AML Right source
Languages
- Telugu
- Hindi
- Bengali
- English, Bilingual or Proficient (C2)
- Telugu, Advanced (C1)
- Hindi, Advanced (C1)
- Bengali, Upper intermediate (B2)
Languages
Telugu
First Language
English
Advanced
C1
Hindi
Advanced
C1
Bengali
Proficient
C2
Timeline
Asst Manager - Financial Crime Consultant
Barclays
08.2024 - Current
Team Lead
AML Rightsource
05.2023 - 07.2024
AML-KYC Compliance Specialist
Citi
08.2022 - 04.2023
Senior QC Analyst/Team Leader
ANZ
02.2019 - 08.2022
Regional Risk Manager
ICICI Bank
05.2013 - 08.2018
MBA - Marketing and IT
Future Management College
BCA -
NSHMcollege
Intermediate -
Board of Intermediate Education