Roni Sarkar

CLIENT ONBOARDING, KYC, REFERENCE & REGULATORY DATA MANAGEMENT

• End to end management of client KYC process including liaison across the business, compliance and operations
• Performing ongoing customer due diligence including maintenance and updating of AML and KYC records and information for existing clients
• Check for Entity type and relevant documents in the client File created by the KYC Reviewer
• Check for all True positive alerts, captured and verified through screening
• Check for correct risk rating proposed & the client is identified and analyzed with risk parameters as High, medium and low.
• Background check for the entire clientele (Connection to politically exposed person, Country of residence and Nature of business)
• Maintaining regulatory requirement as per FATCA, CRS, 871M, EMIR, MIFID, DFA, FBL, PI etc. regulations
• Provide Feedback to the Reviewer and Have the Corrected File Re checked and scored for MIS
• Ensuring smooth BAU of activities managed as part of Data Quality management and Remediation Projects
• Escalation management, RCA preparation on incidents
• Responsible for production KPIs, Monthly Dashboards and Quality control declaration in various applications
• To define productivity measurement trackers to ensure right unit processing time, thereby identifying internal efficiency with the process
• Interaction with vendor management teams & data providers to identify & define centralized data source for Fund & Corporate client data management
• To lead project initiatives, from project definition, budget assessment, resource finalization to heading project Operational and Steering (Sponsor) committee meetings
• Supervising Automation study topics within the process and coordinating with IT & Development to facilitate smooth go-live of BOTs into production
• Part of Executive committee that decides and runs cross process initiatives and synergies
• Managerial point of contact for onshore/sponsor queries on Remediation Projects
• Lead on Governance initiatives, responsible to establish connect with Front Office and Back Office functions, understand their requirements and define regular governance interaction to collect feedbacks and measure progress
• Responsible for periodic review of SLA and BIA documents and receiving sign off from onshore
• In charge for monthly sign-off of billing and headcount details of the process with Management Service Units
• Ensuring meeting with different stake holder to understand their expectation and providing best solution as per the requirements

CLIENT & REFERENCE DATA MANAGEMENT

• Processed queues for FX/Money Market/Derivatives/FI etc.
• New customer setup / amendment, Accounts setup / amendment, cancellation using CBD/ IRFE/ ATHENA/ CASS II system
• Handled the team as coordinator
• Provided training to new joiners
• Audited/verified works of the team
• Handled team's quality
• Queue management – SLA, TAT, completed requests and handled queries of Team
• Taken care of both EMEA & US Clients through calls and messenger
• Handled time utilization for whole team
• Worked as transport SPOC for the team & resolved different issues
• Verified the authentication of cheques issued by JPMC customers to prevent fraud and protect the bank from occurring losses

BLOOMBERG DATA ANALYST

• Analyzed financial statements issued by different organization
• Post analyzing financial statements, data (EPS/Gross/Net income/Assets/Liabilities etc.) captured into Bloomberg home site with 100% accuracy
• Statements are used by the investors interested to invest in different sectors
• Execution of files input and output on regular basis for better queue management
• Assisted other team members for the critical cases and clearing queues
• Prepared reports for various purposes and presenting to the management & team
• Organized different activities within the team for the improvement of the process Achievements