ROHAN Wakode, CAMS
Pune
Summary
Seasoned Financial crime compliance professional with 15 years of experience within UBS and global banking environment, specializing in AML/KYC, Transaction Monitoring, Quality assurance, Risk and Control Frameworks, and Governance. Demonstrates strong leadership and analytical skills, consistently achieving high standards of performance. Proven ability to engage effectively with stakeholders at all organizational levels.
Overview
18
18
years of professional experience
1
1
Certification
Work History
Associate Director
UBS
Pune
03.2025 - Current
- Managed Transaction Monitoring operations within the GCRG (Group Compliance , Regulatory and Governance) team, overseeing alert investigation and escalations, strengthening governance controls, and ensuring alignment with AML regulatory expectations and organizational compliance standards
- Investigate alerts flagged by surveillance systems (Actimize) and evaluate whether further escalation to the FIU is required
- Analysed transactional data to identify patterns indicative of money laundering, tax evasion activity, enhancing detection capabilities
- Led thematic reviews post QA sampling across transaction monitoring alerts to identify recurring errors and emerging financial crime risks
- Fostered strong relationships with stakeholders, ensuring clear communication and alignment of expectations
Associate Director
UBS
Hyderabad
11.2023 - 03.2025
- Leading global Event-driven reviews and client risk rating impact process
- Work closely with APAC, EMEA, and US compliance in regard to operational risk and regulatory risk related to KYC/AML
- Responsible for risks and controls reviews, control effectiveness testing, dashboard monitoring, and advisement on risk and controls matters
- Ensuring the completion of the EDRs/ Risk elevated clients within stipulated timelines to avoid consequences framework
- Hold good hands around various KYC/AML controls such as negative media screenings, sanctions, PEP,SOW corroboration for high-net-worth clients, and the KYC due diligence process
Assistant Vice President
Credit Suisse (Part of UBS AG Group)
Pune
04.2022 - 11.2023
- Managed Quality assurance team for Enhanced Client Periodic Review submission for the wealth management division
- Review KYC/SOW plausibility and corroboration based on the client's risk assessment, and provide approval or rejection by obtaining sufficient information in order to reach a decision that financial crime risks have been sufficiently mitigated
- Liasing with Vendor team for uplifting clients' SOW to the latest standards
- Escalation point for queries from Front Office stakeholders on rejections from four-eye checks
- Identifying the areas for improvement, arranging adequate refresher sessions, and providing training to the team to improve the quality
Authorized Officer/Associate Director
UBS
Pune
05.2018 - 03.2022
- Managing CUSO (Combined US Operations) global business high/higher clients' KYC reviews from the Pune location
- The role encompasses a number of tasks involving KYC analysis across multiple business lines and ensuring AML regulations, policies, and procedures are maintained and adhered to
- Helping the team in analysing and escalating cases to the onshore FCP/ABC/Sanctions team for PEP, tax evasion, bribery, terrorist financing, sanctions, and other reputational risk factors
- Liaising with various stakeholders such as the Onshore escalation team, salesperson, Compliance Team, business sponsors, Technology Team, and Senior Management to expedite the completion of KYC records within the agreed SLA
- Ensure each review is concluded within the standard timeframe to avoid spillover
Process Manager
eClerx
Mumbai
01.2018 - 04.2018
- Was part of Global Rolling Review Team for a large Investment Bank
- Performed quality check on remediation client for the US, UK, and Canada locations.
- Collected and verified KYC-related documentation, and performed regulatory-required screening.
Quality Assurance -Team Lead
Accenture Services Pvt. Ltd
Mumbai
08.2016 - 01.2018
- Leading a team of Quality Assurance analyst - Swat Team (Six-Eye Quality Check) for reviews performed in Mumbai, Bangalore, New Castle and Amsterdam
- Responsible for reviewing and ensuring all required AML/KYC regulatory requirements for existing clients are in place.
- Executed and conducted quality checks on screenings performed using PCR Norkom, RDC, and Lexis Nexis.
Manager
IDBI Bank Ltd
Ahmedabad
07.2008 - 01.2014
- Supervision and authorisation of branch banking activities
- Undertaking CDD and KYC checks for newly opened accounts
- Transaction monitoring to avoid fraud and money laundering
- Tracking and scrutinising the veracity of AML transactions, and monthly reporting of the same to the head office
Education
MBA - Finance
Mumbai University
01-2008
Skills
- Onboarding and Periodic KYC Review
- Transaction Monitoring and surveillance
- Adverse media and Sanction Screening
- Quality Assurance
- Remediation Programmes
- Vendor Management
- Team Handling
Certification
- Certified Anti Money Laundering Specialist (CAMS) from ACAMS(USA)
Timeline
Associate Director
UBS
03.2025 - Current
Associate Director
UBS
11.2023 - 03.2025
Assistant Vice President
Credit Suisse (Part of UBS AG Group)
04.2022 - 11.2023
Authorized Officer/Associate Director
UBS
05.2018 - 03.2022
Process Manager
eClerx
01.2018 - 04.2018
Quality Assurance -Team Lead
Accenture Services Pvt. Ltd
08.2016 - 01.2018
Manager
IDBI Bank Ltd
07.2008 - 01.2014
MBA - Finance
Mumbai University