Ravi Suresha

• Coordinated team activities and delegated tasks to ensure efficient completion of projects.
• Developed strategies for problem solving and conflict resolution among team members.
• Conducted regular performance reviews to assess individual team member progress.
• Provided coaching and feedback on employee performance, encouraging professional development.
• Created training materials and conducted group trainings on new processes or procedures.
• Assisted with recruitment efforts by interviewing potential candidates and providing input on hiring decisions.
• Monitored daily workflow to ensure adherence to established policies and procedures.
• Established clear expectations for employees, providing guidance when needed.
• Identified opportunities for process optimization using Lean Six Sigma principles.
• Maintained a positive work environment that promoted collaboration between team members.
• Offered training and support to keep team members motivated and working toward objectives.
• Oversaw quality control to identify inconsistencies and malfunctions.
• Set specific goals for projects to measure progress and evaluate end results.
• Identified areas for improvement, narrowing focus for decision-makers in making necessary changes.

• Played an IC role and supported many processes, such as statement correction process, clone account creation team, headsheets, and client onboarding team. Below are the key accomplishments on projects.

Process Excellence.

Proposed 'IWS Automation' project gave 1 FTE benefit. This was selected as one among the top 15 best ideas at asset management LOB ideas forum.

Projects Handled.

I. Successfully LED IWS Project, Unmanaged securities project, APM updating project and fraud accounts cloning project.

II. Successfully handled Digital OJT project, a new initiative towards changing the face of process training for the new joiners. With the help of online saved process training modules, the new team members can get trained by watching and listening to presentations and audio files.

• Reviewed customer documents and information to ensure compliance with KYC regulations.
• Verified customer identity using public records, financial databases, and other resources.

Perform KYC checks for Periodic Review of clients adopted as per the framework for effective prevention of Money Laundering and Terrorist Financing.

ü Perform full Know Your Customer ("KYC") due diligence reviews on a diverse range of institutional customers that include Private entities, large corporate, Government entities Private individuals etc ensuring the Bank's KYC and Classification procedures are made in strict accordance with regulatory requirements and the bank’s internal policies.

Responsible for assessing the completeness of a client's KYC (Know Your Customers) and CIP (Customer Identification Program) documentation.

Analyze a wide selection of client documentation in order to extract key information and validate client details.

KYC Gap Analysis - Validate and execute the account opening process, which includes reviewing and researching client/investor data and documents.

Liaise with the Sales Dept and Business Managers to ensure relevant KYC information is extracted and processed.

Liaise with the compliance department for clearance on high-risk clients.

Define the Process Flow and prepare Process documentation.

Review and analyze entities of various business lines, assess time frames for reviews, and define SLAs.

Communicating with AMLC on a periodic basis on the new AML policies, changes, and updates in CIP (Client Identification Program).

Running background checks on entities through internal and external database system.

Coordinate with the Negative News Team and Regional Head of Onboarding to get signoff on material hits on the individual and entities.

Client research through the data sources like D&B, client websites, state registry, regulator's website, Bankers' almanac, and other websites.

The primary job is to perform Customer Due Diligence and KYC enhancement approvals on the clients of UBS. Give approval for clients who wish to trade equities, swaps, options, commodities, fixed income, foreign exchange, etc. In new jurisdictions.

Additional Responsibilities:

Conduct Quality Assurance on the reviewed clients.

Advising and training people on client onboarding issues.

Assisting various teams, on-site and off-site, on completion of yearly reviews.

Preparing Agenda & Meeting Minutes

Preparing daily dashboard report and weekly KPI report.

Handling internal quality sampling, Onshore Sampling remediations, and AML sampling remediation responsibilities.

• Worked for 11 months as an Events Organizer in the Sponsorship sales team.
• Coordinated with vendors to provide necessary equipment and services for successful event implementation.
• Collaborated closely with other departments in order to develop effective marketing campaigns for upcoming events.
• Provided on-site support before, during and after events to guarantee smooth operations.
• Implemented innovative ideas to enhance the overall attendee experience at each event