Prabhat Patel

• Quality Checker: Quality check of cases performed by analyst and publish dashboard to management
• Conduct refresher training for analyst
• Monitor daily transactions flagged by the institution’s transaction monitoring systems (TMS)
• Conduct detailed investigations on alerts, including gathering supporting documentation and customer information
• Assess whether unusual patterns are consistent with legitimate customer activity or indicative of suspicious activity.
• Perform EDD on suspicious or unusual account
• Preparation of GOS for SAR/STR filling of suspicious accounts during transportation monitoring in accordance with local regulations.
• Maintain accurate and complete documentation of investigations and decisions
• Assist in the refinement of transaction monitoring rules and scenarios to improve system effectiveness.

Conducted Enhance due diligence (EDD) and KYC research for clients to ensure regulatory compliance for UK entities.

•Prepared detailed reports on investigation findings for submission

to regulatory bodies, ensuring adherence to AML regulations.

•Executed and reviewed negative media alerts from client screenings,

escalating issues when necessary.

•Monitored sanctions in various countries closely.

•Monitored and screened cryptocurrency transactions for any suspicious activity to ensure they follow rules and prevent financial crimes.

• Investigated adverse media checks to mitigate potential risks.

• Escalation of urgent matters to level 2 review.

•Fulfilled end to end closure of suspicious transaction monitoring

alerts.

• Reviewed all high-risk entity types according to policy regulations.

• Calculated TPW (Total Proven Wealth) as per client source of fund.

Monitored changes in customer behaviour and account activity to

detect early signs of potential money laundering or terrorist

financing.

• Conducted end to end KYC Due diligence/EDD/CDD
• Monitoring of transactions (Screening of transactions for suspicious Activity)
• Responsible for performing Sanctions Screening and Politically Exposed Person (PEP) checks on customers and transactions to ensure compliance with regulatory requirements
• Perform periodic review on Corporation entities
• Responsible for Suspicious transaction escalate for further investigation
• Prepare the final report based on the results of the investigation and initial findings

• Conduct end-to-end onboarding of new entities by performing comprehensive KYC (Know Your Customer) due diligence in line with regulatory guidelines, and company SOPs for Netherlands client.
• Assess and verify client information to determine company type, business type, and risk category.
• Execute sanction screening, adverse media checks, and PEP (Politically Exposed Person) screening to identify potential risks.
• Liaise with internal stakeholders (Compliance, Legal, Operations) to resolve onboarding queries and discrepancies.
• Perform risk-based reviews and assign appropriate risk ratings (Low, Medium, High).
• Maintain and update records, systems, and dashboards for audit and reporting purposes.
• Support ongoing monitoring and periodic reviews to ensure continued compliance with regulatory requirements.