PRAVEEN DHANPAL JANAGOUDA
Bangalore
Summary
PERSONAL STATEMENT_________________________________________________________ Seeking a challenging position in a good and rapidly expanding company to work in professional environment that would expose me to the latest regulatory developments and enhance the spectrum of my knowledge & skills. Eager; motivated and hardworking individual; able to adapt to new situations; dedicated and ambitious/ promoting good work ethics; adept at identifying common goals and building relationships and confidence through positive relationship building. A thorough professional with a proactive attitude, capable of thinking in and out of the box, generating new design solutions and ideas. Proven ability to work in a team environment whilst being resourceful, self-directed and self-motivated. Extensive knowledge of Sectorial Sanctions. Proficient in managing & capability development of a Development Team, Ensuring that it adheres to policies/best practices.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Compliance Associate
Ares Operation India LLP
11.2020 - Current
- Managed preclearance review and approval of employee personal trades
- Monitor and perform surveillance on employee investment activity
- Creating Legal Card in CRM
- Performing issuer check in OMS and identify the duplicate entries to report
- Performing Cancel-Correct trades
- Monitoring the Workspace access for employees
- Performing Weekly IPO- to identify any private declaration for the IPO’s on the weekly basis
- Monitoring private amendment and report employees access and holdings
- Performing Form13H
- AML-KYC:
- Key Responsibilities:
- Acknowledge receipt of investors material in emails from internal/external Counsel
- Creating investor folder and fund subfolder
- Downloading the investor documents into appropriate folder
- Extracting individual document from PDF, renaming as per the standard naming convention
- Uploading all the investors documents in to SEI (admin team) and also sending email notification to admin team
- Updating review template based on the investor type and fund domicile
- Follow up with investors for missing KYC documents to complete the review
- Working with fund admin to resolve any outstanding investor issue
- Sampling customer on-boarding and customer refresh documentation (under standardized template and plan) to determine compliance to Business Line KYC Program standards
- Updating Tax and CRS forms in Tracker
- Preparing CTC pack preparation from SEI List
- Sending prepared CTC pack to investors to provide certified documents
- Screening all the investors into “World Check” application to avoid risk
- Review screening results and complete “Risk Assessment Template”
- Update fund tracker and close the ticket/Updating everyday activity to US team
- Doing quality check and ensuring that errors reported have been communicated to the team immediately
- Updating MOM on respective channel for weekly calls with counterpart team members
- Preparing SOD i.e., allocation of work on daily basis
- Sending consolidated reports to AML group and counterpart team member via email on daily basis
- Updating total activity report on daily basis.
Senior Analyst
Deutsche Bank, DBOI
03.2015 - 10.2020
- Level 2 approval of messages from Regulatory Filtering (HOTSCAN) application which filters swift transactions against terrorist activities, sanctioned countries/ Individuals & Special Risk Client List/SDN
- Ensuring that all the transactions are monitored & Screened
- Ensure all the transactions are complying with Bank policies, procedures and Regulatory requirements
- Analysing/ Adding the Good Guys to Increase STP Rate in the database
- Data Base Management – List Upload Activity (Download the embargo lists and OFAC SDN lists from the external sources and uploading to the system)
- Identify and placing the suspicious (Doubtful/Risky) transactions & ensure that same has been escalated to AFC compliance team through mail
- Handling mails queries of front office, backend Process
- Certify the failed/deleted transactions are appropriately informed to Payments Area/Backend teams
- Handling Duplicate & Resubmitted Transactions as per the request from AFC [Anti Financial Crime /Compliance Team]
- Monitoring POD
- Updating hourly report tracker, priority check list and hourly check list for management perspective
- EOD Reconciliation of the daily activities
- Ensure that errors reported have been communicated to the staffs immediately
- Research, Respond and Resolve the client/backend team enquiries within the pre-specified time frame
- Work towards maintaining appropriate audit trails of all the processing activities through relevant tracker and system monitoring
- Deployment and COC support – Supporting IT Team for application releases, checkouts and other COC related activities.
Education
B.com - Accounting Commerce
KLS Gogte College of Commerce
Belagavi 07.2011
Skills
- Proficient knowledge of
- MS-Office; Working knowledge of VBA & Power BI
- Transaction Surveillance
- Trade Compliance
- AML Compliance
- S&P 100 list
- World Check
- Transaction Monitoring
Accomplishments
- 22: CPD & SEMINARS
- International Banking and Operations – Stratagem Education Pvt Ltd
- Internal Certification on Sanctions and Embargoes (Messaging Operations) – Deutsche Bank Group Gogte College of Commerce: Bachelors of Commerce (B.Com) PASS
Additional Information
- Achievements: , Spot Award in the year 2018 for DB values Spot Award in the year 2019 for Accuracy
Certification
· International Banking and Operations – Stratagem Education Pvt Ltd.
· Internal Certification on Sanctions and Embargoes (Messaging Operations) – Deutsche Bank Group
NCC Cadet; Music; Travel; Sport
I was NCC cadet with A certificate in school and i love to listen music with mood atmosphere and i love to traveled many place in karnataka and i was state level player in Kho Kho and District level Throw Boll.
Languages
English
Advanced (C1)
Hindi
Advanced (C1)
Timeline
Compliance Associate
Ares Operation India LLP
11.2020 - Current
Senior Analyst
Deutsche Bank, DBOI
03.2015 - 10.2020
B.com - Accounting Commerce
KLS Gogte College of Commerce
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