Poornima G

• Conducted end-to-end KYC reviews for Retail, HNI, and UHNI clients ensuring compliance with regulatory standards.
• Verified Customer Identification Program (CIP) documents using LexisNexis and internal systems to mitigate risk.
• Performed detailed risk assessments on client financial backgrounds and sources of wealth.
• Executed due diligence through internal/external searches, collaborating with compliance teams to resolve data gaps.
• Delivered accurate KYC outcomes within SLAs, ensuring adherence to AML and compliance.

Process: Transaction Monitoring

• Monitoring individual/entity transactions to identify customer profile, source of funds/wealth, and relationships.
• Reviewing Actimize system alerts and analyzing transactions for unusual activity and red flags.
• Identifying sanctions risks and documenting investigation findings through clear narration reports.
• Ensuring compliance with internal AML policies, procedures, and controls.

Process: Transaction Monitoring & Name Screening

• Conducting CDD activities including PEP/Sanctions screening and verifying customer profile, source of funds, and UBO details using external tools and public sources.
• Monitoring and analyzing transactions to identify sanctions matches, red flags, and potential unusual activities.
• Performing public domain research to validate individual/entity details and establish relationships between involved parties.

Process: Direct Billing and Payments

• Handling client payment processing such as refunds, follow-ups, and dropping customers due to non-payment.
• Investigating and resolving payment-related issues that may impact the project, and managing receivables consolidation.
• Preparing payroll reconciliation, direct billing, and payment reconciliation sheets.