Preeti Alva

●Led review of challenged cases by OPs team, categorising them into process, oversight, and knowledge issues, enabling targeted corrective actions and enhancing operational efficiency and compliance accuracy.

●Performed detailed reviews of challenged cases to evaluate justification, deciding whether to uphold the challenge or maintain the original decision.

●Participated in internal review calls to discuss the M5 error tracker, assessing each flagged error to determine whether it was valid or not required, ensuring accurate quality outcomes.

●Delivered detailed walkthrough of complex case to stakeholders during their India visit, effectively communicating key challenges and showcasing areas of strong performance to support process improvement discussions.

● Facilitate knowledge transfer within the QA team to promote continuous

learning and skill development.

● Manage day-to-day activities of the ECDD Quality Assurance team, including

task prioritization and deadline management.

● Conduct quality assurance reviews on high-risk customers to ensure compliance

with regulatory requirements and internal policies.

● Facilitate knowledge sharing within the team to enhance understanding and

adherence to quality standards.

● Provide support and clarification on internal queries, ensuring consistency and

accuracy in processes.

● Utilised QA findings to identify process and knowledge gaps, collaborating with cross functional teams to explore workflow improvements and reduce recurring errors.

• Reviewing client's KYC profiles and ensuring that KYC performed is as per standards set before onboarding the client. Also, review periodic renewals and triggers events for clients on regular basis.
• Recommend further due diligence where required. Ensure a conclusion is reached with regard to risk of client.
• Reviewing process includes client type and related requirements as per business procedures, Account Activity Report & Screening (Sanctions PEP and Negative News).
• Being up to date with Policy & Procedure changes; effectively communicate changes through various forums.
• Stakeholder Management and working collaboratively with Policy, Compliance and production to achieve desired KYC Operations results and targets.
• Responsible for accuracy, completeness and consistency of information within the bank's systems.
• Understanding and managing various risks by appropriately escalating the key issues.
• Provided detailed case walk-through training to team members and stakeholders to enhance understanding, consistency, and overall case quality.

• Reviewing client's KYC profiles and ensuring that KYC performed is as per standard's set before onboarding the client. Also, review periodic renewals and triggers events for clients on regular basis.
• Recommend further due diligence where required. Ensure a conclusion is reached with regard to risk of client.
• Reviewing process includes client type and related requirements as per business procedures, Account Activity Report & Screening (Sanctions PEP and Negative News).
• Being up to date with Policy & Procedure changes; effectively communicate changes through various forums.
• To lead discussions regarding complex queries with Compliance & Relationship Manager contacts.
• Stakeholder Management and working collaboratively with Policy, Compliance and production to achieve desired KYC Operations results and targets.
• Responsible for accuracy, completeness and consistency of information within the bank's systems.
• Understanding and managing various risks by appropriately escalating the key issues.
• Liaise with external audit team to be updated on policy changes and resolving all quality related issues identified during their course of review.

• Verifying and validating clients legal documentation.
• Preparing ownerships chart by finding out the UBO and IBO and their stakes in client.
• Conducting IDD, CDD and EDD.
• Obtaining AML and Wolfsberg questionnaire from client.
• Obtaining sanction questionnaire filled by client.
• Identifying key controllers, PEPs and other related parties involved.
• Verifying the key controllers by obtaining their valid Id copy.
• Calculating client risk rating (FCRR) as per the policy.
• Follow up on trigger events.
• Screening client and associated parties for negative news and relationship with sanction countries.