Rokaiah C

• Member of the Global WOLF team, specifically focused on transactional Sanction Screening, responsible for managing & delivering BAU and change programs related to Payment Services Agenda as determined by the Global Compliance function.
• Worked as part of a global team functionally managing the end to end sanction screening process and provides regular quantitative updates to all stakeholders on test execution and progress.
• Knowledge of International sanctions concepts with good understanding of payments, securities and trade messages. Strong analytical skills and an attention to detail with an ever-investigative mind-set.
• Knowledge of Sanction List / FML rule management, Firco Continuity. Hands on experience using FMM for list / rule management. Experience working on sanctions screening applications using FircoSoft suite of products.
• Perform Impact Assessments, tuning via Rules, Good Guy creation, Weak Alias removal in Firco Files Filter Classic (FFF Classic).
• Adhering to tuning solutions as per the agreed SLA with stakeholders and management.
• Reviewing and Assisting of various MIS packs to senior Management
• Preparing various monthly Deck like Client Experience Tuning (MI's), MBR pack.
• Ability to work as part of a wider cross-geography team and independently under minimal supervision.
• Leading a Client Experience Tuning Leads (Assistant Managers) The Team Mainly Focuses on Client Specific tuning and RFI Reduction. Have received several accolades from internal and external stake holders.
• Preparing and reviewing of Procedures at regular intervals and highlighting any key issues to Stakeholders / Management.
• Preparing checklist to the process as a guidance to the team and to cover all the scenarios to make hassle free process.
• Conducting regular team huddles for updates, discuss on Internal and External errors and circulate Minutes of Meeting.
• Monthly one on one meeting with Asst. Managers.
• Keep track of objectives and behavior of the Asst. Managers.
• Owning training academy in GWFM and providing end to end process & product training to the team.
• Conducted Interviews for staffs applied for GCB 7 in GWFM team.

• Part of Global WOLF filter Management team in GSC to ensure that the Group transaction screening system works effectively and aligns with Global Compliance policy and risk appetite.
• Working as Fircosoft Tuning Specialist in functional and analytical areas for the day to day control of the WOLF filters globally, covering the Sanctions list management, FML rules, Filter Tuning, resubmits, stripping modules & supporting component updates to filter.
• Undertaking analysis and development role in support of sanctions screening requirements associated with WOLF Filter Management.
• Developing and testing solutions in relation to sanction screening and WOLF Filter Management.
• Re-engineer and improve business processes to remove the non-value added tasks
• Working with the Business SMEs to understand the business problem provided in the business requirements.
• Performing regular and ad hoc tasks as they arise
• Preparing manual stripping rules in FMM to detect transactions that are striped and re initiated.
• Preparing tuning solutions based on the requests received by relationship manager
• Creating Tuning Solutions like Exceptions (Good Guys), Tuning Rules, removing Weak alias name from the bad guys list. Moving common names from Name field to search code field to reduce obvious false matches.
• Focusing on high worthy customer's transactions and tuning the RFI cases to bypass the filters.
• Performing FircoSoft Resource file update testing and implementing the latest file in all the filters.
• Preparing Monthly MI reports with statistics on tuning solutions applied and key highlights of the process.
• Providing Training to the Sanctions screening & Global Wolf Filtering team on the functionality of Fircosoft products like FMM, FFF Classic & Firco Continuity.
• Managing Client Experience process for all 4 regions and providing end to end solutions to Stakeholders.
• Handling GWFM mailbox queries. Manual Screening & Max Buffer process

• Responsible for managing a function within the Cash Ops group(s), including conducting the performance management process and providing input for staff and disciplinary actions.
• Plan, organize, direct, control and evaluate the process activities
• Handle escalations and resolved them in a timely manner. Escalate to senior management as appropriate
• Develops periodic goals, organizes the work, sets short-term priorities,
• monitors all activities and ensures timely and accurate completion of the work.
• Maintained good rapport with interrelated teams such as Alternative assets, Sanction screening team, CDM team, Account Manager groups to ensure seamless day to day activities.
• Leading sanction teams in Bangalore and Chennai. Provides strategic direction and oversight for all investigations involving breaches of law, regulation, or policy that pose potentially significant financial, legal, regulatory, or reputational risks. Enforces the standard of investigations to ensure they are conducted in a timely and proportionate manner, and ensures all reporting is to an exemplary standard.
• Managing a sanction Screening team of 150+ staffs regional and country teams along with AM's & TLs in a real time process.
• Determining workforce management strategies by conducting need assessments, capacity planning, and cost/benefit analysis. Assessing the daily performance and managing real-time staffing changes to ensure targets and service level objectives are achieved.
• Played a vital role in setting up targets, SOPs & SLAs; monitoring & maintaining WFM Metrics Viz. Shrinkage, Attrition & AHT Level
• Planned & conducted review meetings with Internal Teams and Onsite Managers for smooth functioning of the process
• Driving Performance, productivity, and efficiency through the team.

• Review and update existing clients.
• Answer to adhoc requests.
• Cary out due diligence checks and information searches. and undertake additional reputation checks when necessary.
• Analyze client files and give recommendations and conclusions with regard to the client and its activities.
• Work closely with Compliance department.
• Properly manage KYC files and client records in the bank's IT systems.
• KYC Experience with OFAC sanctions/pep (sanction screening).
• Exposure in handling KYC processes for Corporate & Investment Banking clients and apply relevant country specific standards.
• Involved in alert investigation and transaction monitoring.
• Ability to handle different risk level of customers (high, medium & low).
• Experience in various third party application tools like World Check and Lexis Nexis.
• Looking up for client information from AML Compliance approved websites and others (ie. Lexis/Nexis, Bankers Almanac. company websites. Government websites. etc.)
• Contacting BL's and RM's for missing KYC documents & closure approvals by email.
• Collect other mandatory information with regard to AML guidelines.
• Review the documents procured from BL's and RM's.
• Performing the background verification on individuals and entity using (ie. Lexis/Nexis. World Check, and Internet.)
• Enriching the request initiated and submitting the same for Quality approval.
• Updating Daily MIS Report and forwarding the same for Management Review.