Summary
Overview
Work History
Education
Skills
Certification
Accomplishments
Timeline
Generic
PRADEEPA S

PRADEEPA S

Purasawalkam

Summary

Proven leader in Quality Assurance, Risk and Controls with over 10 years of experience, adept in risk analysis and mitigation, audit and fostering continuous improvement. Excellent in team leadership, driving operational efficiency.Additionally, an ICA-certified compliance officer with practical experience in KYC/AML, sanctions, PEP, and financial crime risk analysis..

Overview

13
13
years of professional experience
1
1
Certification

Work History

Quality Assurance Lead

Societe Generale
Chennai
05.2020 - Current
  • Accountable for monthly QA testing and scoring of KYC/AML controls, including the assessment of controls related to financial crime risk, using structured sampling techniques.
  • Spearheaded the end-to-end design, implementation, and maintenance of the Quality Assurance (QA) framework, including the development of sampling methodologies, and optimal task allocation across QA teams.
  • Demonstrated strong knowledge of internal controls, risk management, and compliance frameworks; effectively assessed the adequacy and effectiveness of business control environments.
  • Ensured strict compliance with Standard Operating Procedures (SOPs), organizational policies, and regulatory requirements throughout the QA review process.
  • Led monthly governance meetings, including the preparation and presentation of the Risk & Controls Dashboard, providing comprehensive insights into QA outcomes and control effectiveness.
  • Conducted root cause analysis (RCA) to identify control failures, eliminate recurring process gaps, and propose preventive measures to strengthen operational resilience.
  • Delivered monthly learning sessions based on QA findings, highlighting recurring errors, and sharing best practices with Operations teams to enhance overall quality performance.
  • Conducted end-to-end assessments of key processes across business functions to identify risk exposure, operational inefficiencies, and compliance vulnerabilities.
  • Contributed to the evolution of financial crime risk assessment methodologies, enhancing early detection of emerging threats and control breaches.
  • Led system enhancement initiatives for QA control applications and referential data systems, such as the QLL (Quality Learning Log) tool and MAESTRO, resulting in improved efficiency and accuracy.
  • Facilitated training workshops for Operations teams on key regulatory policies and control-specific issues to reinforce consistency in risk mitigation practices.
  • Performed in-depth process and quality reviews to align existing practices with enterprise risk management and global regulatory expectations.
  • Engaged in regular governance discussions with senior management and cross-functional stakeholders to address key risks, track action items, and implement effective control measures.
  • Proficient with regulatory controls such as FINCEN, FATCA, P.A.C., FICOBA, and INPI, as per the USA and EU local regulations and AML directives.
  • Oversaw task distribution, tracked completion status, and ensured timely delivery of QA outputs in line with quality standards.
  • Conducted monthly one-on-one meetings with team members to foster engagement, provide performance feedback, and identify development opportunities.
  • Designed key control testing templates and participated in control rationalization initiatives to reduce redundancy and enhance risk coverage.
  • Prepared detailed audit reports and presented findings to senior management and audit committees.
  • Partnered with Financial Crime Compliance (FCC) teams to audit escalation decisions and supporting documentation for high-risk clients, ensuring audit readiness and regulatory compliance.
  • Monitored recurring QA errors in PEP, Sanctions screening processes, Adverse media screening processes, conducting thematic reviews, and driving corrective actions to strengthen first-line controls.
  • Maintained daily communication with stakeholders through structured touchpoints, ensuring timely updates on QA findings and risk control metrics.
  • Acted as representative head for QA, Operations, for Continuous Improvement initiatives.
  • Managed and mentored a team of 12 QA professionals responsible for control testing across multiple risk categories and business lines.

KYC Analyst

Barclays Shared Services
Chennai
10.2017 - 08.2019
  • Performing Standard Due Diligence (SDD) on clients that include listed entities, large corporate clients, and related parties in order to mitigate various risks.
  • Prepared KYC Due Diligence profiles on a wide range of entity types (Trusts, LLP's, Partnerships, and Charitable organizations, Housing associations, Private limited companies, Public limited companies).
  • Performing an end to end research on the client and sourcing necessary documents based on the client category.
  • Used existing customer records, on-boarding documents, external data, publicly available information, and other information to identify suspicious or unusual activity.
  • Screening of clients through ALACRA and Real Time Screening (RTS)
  • Experienced in running Background checks on clients and related parties (along with name variation) using Company registries based on the countries where the companies
    are incorporated, Dun & Bradstreet, MINT Global, Thomson Reuters and
    resolved/deemed any Political Exposed People (PEP's), Negative Information, Immaterial and False-Positive alerts.

Executive

Citi
Chennai
05.2015 - 02.2016
  • Performing end to end KYC for Citibank - Australia clients.
  • To understand and document knowledge of the country risks, their customer’s business, the history of the relationship, including the BSA/AML program and the expected use of
    products and services, negative news or derogatory information, especially AML, fraud and corruption must understand and monitor unusual activity.
  • Determine the customer’s risk in terms of propensity to commit money laundering, terrorist finance, by analyzing their KYC details.

Process Associate

The Royal Bank of Scotland
Chennai
04.2012 - 01.2015
  • Performing KYC Standard Due Diligence & Enhanced Due Diligence for periodic review clients.
  • Scrutinizing the source of funds, nature of business, product, and identifying the risk associated with it.
  • Unwrapping the ownership structure through various reputable public domain sources.
  • Experience with Sanction, PEP, and Adverse Media Screening for entities, shareholders, UBOs, management members, and authorized signatories of the client.
  • Screening all clients and its related parties using World check.

Education

Bachelor of Science - Computer Science

Madras University
Chennai, India
01.2011

Skills

  • Quality Assurance testing
  • Regulatory policies
  • Risk Analysis and Mitigation
  • Internal Audit
  • Continuous Improvement
  • Error Trend Analysis

Certification

ICA Advanced Certificate in Practical Customer Due Diligence (Passed with distinction – Year 2023)

Accomplishments

  • Successfully implemented control tool automations and process workouts that resulted in reduction of FTE's to the organization.
  • Have conducted workshops with the Operations team on the ‘Importance and awareness of Quality’
  • Have won Bronze ovation among the entire organization for excellence in work successful process migration.
  • Won the Star of year award for excellence in the work.

Timeline

Quality Assurance Lead

Societe Generale
05.2020 - Current

KYC Analyst

Barclays Shared Services
10.2017 - 08.2019

Executive

Citi
05.2015 - 02.2016

Process Associate

The Royal Bank of Scotland
04.2012 - 01.2015

Bachelor of Science - Computer Science

Madras University

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