Rishab Tiwari
Compliance Associate
Bengaluru
Summary
Experienced with regulatory compliance, risk assessment, and policy development. Uses detailed analysis to identify potential compliance issues and implement corrective actions. Strong understanding of industry regulations and best practices in maintaining compliance.
Overview
9
9
years of professional experience
2
2
years of post-secondary education
1
1
Certification
3
3
Languages
Work History
Compliance Associate
FalconX
Bengaluru
07.2024 - Current
- Assisted in maintaining a culture of ethical conduct by providing training on relevant laws, regulations, and company policies.
- Conducted due diligence on KYC/KYB onboarding and refresh processes for all types of clients, such as funds, exchanges, and corporations.
- Assisted the MLRO in preparing the firm's DDQ while also managing reverse KYC requests from clients.
- Developed KYC refresh policies, procedures, and checklists, and also assisted the MLRO in drafting off-boarding policies and procedures.
- Independently managed a pilot batch of 50 KYC refresh clients.
- Conducting PEP and sanctions screenings, as well as negative media checks. Additionally, handling token and wallet screenings for transaction monitoring purposes.
- Delivered annual compliance training to over 100 participants.
Assistant Manager
BNP Paribas India Solutions Private Limited
Bengaluru
10.2022 - 07.2024
- Ensure a smooth and prompt onboarding of new customers and conduct KYC refresh on existing customers against our global onboarding procedures.
- Responsible for reviewing incoming requests for new master agreements or amendments to existing master agreements, performing data quality exercises and assigning to negotiators to complete.
- Understanding firm's KYC requirements when completing documentation inclusive of Customer Identification Program (CIP), Enhanced Due Diligence (EDD), Local Due Diligence (LDD) and Product Due Diligence requirements (PDD).
- Researched and verified the parties involved in suspicious transactions against various database such as LexisNexis, World Check, Dun & Bradstreet and Internet searches on their exposures to sanctions, AML and CTF concerns.
- Evaluating and escalating sanctions, PEPs; managing negative media screening results in line with policies and procedures.
- Producing weekly/monthly AML/KYC management reports and metrics supporting AML/KYC business initiatives.
- Supervised day-to-day operations to meet performance, quality and service expectations.
- Part of C100 group, an organization setup to manage top 100 clients of BNP group primarily for APAC region.
Senior Analyst
Goldman Sachs
Bengaluru
10.2019 - 10.2022
- Ensured Due Diligence is performed on periodic renewal clients to comply with Know your customer regulations.
- Performing End to End KYC by extracting information from external sources, reaching out to client on Outstanding requirements and completing KYC refresh.
- Undertaking AML checks to ensure adherence to all compliance policies, procedure and regulatory obligations.
- Performing the KYC checks on individuals and entity using (i.e., Lexis/Nexis, World Check, Dun and Bradstreet, Bankers, ACRA, ICRIS, etc.).
- Enhanced team productivity by streamlining workflow processes and implementing time-saving strategies.
- Handled team allocations, day to day queries and Quality checks for a team of 8 KYC analysts.
Financial Analyst
Fincart
08.2018 - 08.2019
- Worked on client on boarding process, real time screening and periodic review.
- To complete all the Service request (SR) within the TAT time.
Relationship Manager
Axis Digital Center
10.2017 - 08.2018
- To On-board New Clients and perform Re-KYC on existing client.
- Monitoring the activities on customer accounts to identify suspicious activity and to report the suspicion to relevant authorities.
Value Banker (VB)
ICICI Bank Ltd
04.2016 - 08.2017
- Determined and implemented additional steps, validating KYC risk compliance based on research of customer records, verification of account purpose and legitimacy, analysis of transaction activity.
- Ensuring the implementation of due diligence in the day-to-day transactions in order to minimize financial and operational risk.
Education
Master of Commerce - Accounting and Finance
Vikram Dev Autonomous College
Odisha 06.2013 - 05.2015
Skills
- Client Onboarding
- Compliance review
- Periodic review
- Enhanced Due-Diligence
- Simplified Due-Diligence
- PEP/Sanctions Screening
- Anti-money laundering
- Customer Risk Assessment
- Transaction Monitoring
Websites
Profile Summary - Summary
Accomplished professional with a proven track record in Client Onboarding, Periodic Reviews, KYC Renewals, KYC compliance, Customer Due Diligence and Enhanced Due Diligence for top-tier clients. Integral member of the FalconX , demonstrating leadership in overseeing onboarding processes and managing relationship with key Clients across all region. Expertise in evaluating and escalating sanctions, PEPs, and managing negative media screening results, ensuring adherence to AML/KYC policies and procedures. Demonstrated leadership in team supervision, training, and issue resolution, contributing to the overall effectiveness of teams at both BNP Paribas and Goldman Sachs. Experienced in ensuring compliance with the code of conduct in addition to all other regulatory requirements, including Data Protection, Information Security and Anti Money Laundering (AML) regulations.
Certification
G- CAMO ( Globally Certified Anti-Money Laundering officer
Timeline
G- CAMO ( Globally Certified Anti-Money Laundering officer
04-2025
Compliance Associate
FalconX
07.2024 - Current
Assistant Manager
BNP Paribas India Solutions Private Limited
10.2022 - 07.2024
Senior Analyst
Goldman Sachs
10.2019 - 10.2022
Financial Analyst
Fincart
08.2018 - 08.2019
Relationship Manager
Axis Digital Center
10.2017 - 08.2018
Value Banker (VB)
ICICI Bank Ltd
04.2016 - 08.2017
Master of Commerce - Accounting and Finance
Vikram Dev Autonomous College
06.2013 - 05.2015
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