RAVINDRA MATHUR

Experienced professional with a strong background in compliance, management, anti-money laundering, financial crime risk management, and sanctions management. Proven track record in navigating complex regulatory environments and implementing robust compliance programs. Skilled in identifying and mitigating risks, ensuring adherence to policies and procedures, and driving organizational compliance. Adept at collaborating with cross-functional teams and senior stakeholders to develop and execute strategies that safeguard the integrity of financial institutions. Committed to upholding the highest standards of ethical conduct while maintaining a proactive approach to staying abreast of evolving industry regulations.

· The Bank’s overseas compliance monitoring and testing process was strengthened by successfully implementing a web-based Compliance Monitoring Tool for all overseas centers.

· Enhancing the AML Risk framework with new AML/TBML tools, assisting in recalibration of scenarios for effective and efficient Transaction Monitoring and Sanction screening processes.

· The entire process of Customer life cycle from customer onboarding to regular periodic / ad hoc risk assessment process was automated to effectively manage the customer risk.

· The frontline staff was equipped with regular trainings on AML-KYC, Transaction Monitoring, TBML, Correspondent Banking, FATCA-CRS, etc.

· Enrichment of sanctions data feed to ensure adequacy for comprehensive sanctions screening of parties, vessels, ports, goods and guiding overseas teams for sanctions related queries.

· ML/TF Risk assessment framework was strengthened for assessment and periodic updates to the Board, periodic jurisdictional risk review.

· Working on AML solutions of Fiserv, SAS and Azentio (Amlock), LexisNexis, Dow Jones, etc.

· Participating in RCSA committee for approving Compliance related risks.

· Played key role in ensuring smooth conduct of onsite regulatory examination by HKMA on Transaction monitoring and sanctions compliance and subsequent remediation process and validation of the remediation done through an external agency.

· As MLRO, ensure the AML risk framework work effective and reviewed regularly, with prompt identification and filing of STRs, appraising the top management, updating data feed with local sanctions list. Introduced new TBML screening tool for Transaction Monitoring process

· Instrumental in preparation of AML and KYC manual for the branch in compliance to HKMA regulations.

· The profile involved setting up and maintain various applications and systems, coordination with vendors for IT infrastructure, setting up of DR site and conducting BCP mock drills.