Rushikesh Bhoir

Manage multiple queues of real-time transaction and reference data alerts against sanctions/PEP/negative news watch-lists administered by U.S. and international regulatory bodies.
* Perform complex case investigations sourcing data from multiple unrelated venues, including both proprietary and open sources.
* Draft reporting summaries for internal management and external regulatory audiences.
* Design, source and produce reporting metrics across multiple workflows and decision queues.
• Process review and enhancement related to the referral, escalation, and resolution of AML alerts in region and globally as required.
* Contribute new idea related to AML screenings

• Perform public research from both free and paid sources and internal research to complete due diligence on client KYC profiles as a part of self sourcing team
• Drilling down complete ownership up to the Beneficial Owners and Ultimate Beneficial Owners (UBOs).
• Worked on different entity types like Private Entities, Listed, Regulated, Charities, Trusts, Unincorporated Partnership and Private Individuals etc
• Perform the required KYC screening on full client profile by documenting and corroborating the information obtained on the client as required by the global KYC procedures utilizing a variety of independent research sources (i.e. LexisNexis, Dow Jones, and other internal tools)
• Performing Quality check in Ongoing Monitoring for different entities and client profiles to check for Adverse Media, PEPs, RCAs and Sanctions List.
• Identify and Highlight Politically Exposed People (PEP), sanctions connections and other red flags for further investigation.
• Alerted any unusual or suspicious activities that may indicate laundering (AML) of illegal proceeds or other criminal conduct and report such activities into the KYC file.
• Performing Enhance due diligence on the clients depending upon the risks associated with the clients

• Responsibilities in SSSSPL:
• Cash Processing team: (Reconciliation & Trade settlements)
• Checking Cash report against Fund reconciliation report provided by Dealing team.
• Checking Value date as per prescribed settlement cycle for different Mancos and funds
• Amending cash report as per oversight team or dealing team
• To prepare manual cash availability for SUBNR and REDNP of various funds.
• Processing Money Movement or No Money Movement for various funds.
• Manually Setup the new funds into the catrin fund setup file, through subscription & redemption activities process.
• Doing research on the remaining exception to find out the exact reason for exception lying on account.
• Having operations knowledge of CATRIN, IFAST, AWD, SHAREPOINT, and SERVICE
• Preparing SOPs for the process and maintaining them every month.