Summary
Overview
Work History
Education
Skills
Websites
Interests
Timeline
Generic

Manali Gulati

Hyderabad

Summary

AML & KYC Compliance Specialist with expertise in Asset & Wealth Management. Skilled in Standard and Enhanced Due Diligence across multiple jurisdictions, regulatory adherence, and process automation using Alteryx. Experienced in financial transactions, including SWIFT messaging, Nostro/Vostro reconciliation, and trade settlements. Led Risk and Control Self-Assessment (RCSA) audits. Strong liaison between Financial Crime Compliance and Sales teams, ensuring compliance with minimal disruption. Adept at training, mentoring, and resolving complex client queries while maintaining robust controls.

Overview

7
7
years of professional experience

Work History

Senior Analyst

Goldman Sachs
05.2022 - Current
  • Performed Standard and Enhanced Due Diligence on clients, ensuring compliance with country-specific requirements.
  • Addressing all CRM inquiries related to customer due diligence (CDD), enhanced due diligence (EDD), and compliance procedures for Separately management accounts/ Retail SMA clients, offering clear and accurate guidance.
  • Conducted quality control for periodic AML and KYC reviews for clients and counterparties in both AWM Public and AWM Private divisions.
  • Conducted RCSA (Risk and Control Self-Assessment) audits to identify, assess, and mitigate potential risks within the AML/KYC processes.
  • Prepared and presented FCC (Financial Crime Compliance) decks for senior management and compliance committees, providing insights into key AML/KYC risk metrics, regulatory updates, and compliance initiatives.
  • Reviewed processes related to AML Screening and Economic Sanctions imposed by authoritative bodies such as OFAC, USNC, EU, and HMT.
  • Finance professional with hands-on experience in liquidity management, collateral operations, and Treasury reporting. Skilled in data analysis, stakeholder coordination, and regulatory compliance across multi-currency environments
  • Collaborated with the Business Intelligence team to streamline the Population Enrichment process by building an Alteryx canvas using SQL queries, automating tasks to enhance efficiency and accuracy.
  • Liaised with custodians, investment managers, and clearing members to facilitate smooth Treasury operations and resolve queries
  • Utilized SQL, Tableau, and advanced Excel functions to analyze Treasury data and generate actionable insights

Analyst

Deutsche Bank
11.2018 - 02.2022
  • High-Value Payment Processing: Managed high-value outgoing and internal payments for clients as per the Trade Lifecycle, ensuring all transactions were processed within specified cutoffs.
  • Cash Transactions: Handled daily cash transactions and processed write-offs based on requests from the Front Office team.
  • Instruction Verification: Verified instructions received on telegraphic call-back sheets, including voice log details, modes of instructions, and approved emails from Group Heads and Chief Operation Officers, provided to Relationship Managers.
  • Cross-Border Payments: Facilitated payments to cross-border regions using Correspondent Banks and processed incoming and outgoing SWIFT MT103 payments.
  • Nostro/Vostro Reconciliation: Conducted TLM Nostro/Vostro reconciliation, managing client events such as fund onboarding/closure, setting up new group codes, message feed creation/deletion, running manual initiations, and maintaining trial balance feed loading.
  • Trade Verification: Verified margin trades sent by clients for trading and checked acknowledgments (Ack) of SWIFT messages.
  • Account Maintenance and Due Diligence: Performed due diligence on account maintenance documents, maintained controls in case of document deficiencies, and identified legal representatives, shareholders, directors, and authorized signatories.
  • Onboarding Authorized Signatories: Onboarded authorized signatories and representatives in the system based on board resolutions provided by clients.
  • Discrepancy Review: Extracted and reviewed daily reports for any discrepancies, ensuring accuracy in financial operations.
  • Training and Mentorship: Assisted in training and mentoring new employees, reviewed their work, and resolved internal and external client queries.
  • Mail Handling and Work Allocation: Managed the mail box, allocated mails, and assigned work to team members accordingly to ensure efficient workflow.

Education

Bachelors of Commerce -

IIS University
05.2017

Masters of Commerce - undefined

Rajasthan University
05.2019

Skills

  • Anti-Money Laundering & KYC
  • Customer Relationship Management (CRM)
  • Risk & Control Management Process
  • Treasury Operations

Websites

Interests

Photography, Fitness

Timeline

Senior Analyst

Goldman Sachs
05.2022 - Current

Analyst

Deutsche Bank
11.2018 - 02.2022

Masters of Commerce - undefined

Rajasthan University

Bachelors of Commerce -

IIS University

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Manali Gulati