Samata Satam

• Analyzed data from various sources to identify trends and patterns.
• Coordinated with other departments to ensure accuracy of data collection and analysis.
• Assist in internal compliance monitoring, and work as a risk and control function.
• Responsible for ensuring the execution of compliance-related tasks performed for the client, such as Anti-Money Laundering checks (AML/KYC), sanctions screening, regulatory reporting and filings, EMT MiFID& PRIIPs review and reporting, investment guidelines monitoring, etc.
• Assist in internal compliance monitoring, and work as a risk and control function.
• Perform a review on a periodic basis to determine whether the funds adhere to the investment guidelines, and report any breaches to the compliance department.
• Develop and maintain process flow documents and standard operating procedures and ensure that the same are updated as and when required.
• Collaborate with other departments to direct compliance issues to appropriate, existing channels for investigation and resolution.
• Monitored the performance of investments and reported results on a regular basis.
• Conducted research into different types of fixed-income investments, such as corporate bonds, government bonds, and ETFs.
• Gathered data from public sources such as Bloomberg to support financial analyses.
• Modeling position level data comprising various asset classes (Equity, ADRs, Options) in the risk engine. Perform independent valuation of position level data and reconcile the MV ,PV, exposure figures and various other risk measures.
• Planned and led team meetings to review business results and communicate new and ongoing priorities.

(For German and Dubai based Bank)

• Performing Preliminary checks as well as executing CDD,EDD as per the defined process and guidelines
• Knowledge of AML laws and regulations, remediation, periodical review, Customer Due Diligence (CDD) , Enhanced Due Diligence (EDD).
• Perform outreach for the discrepancies and take business rationale on the data points.
• Reaching out to businesses for PEP assessment incase of PEP hit in screening for business rationale.
• Checking internal as well as external databases and updating the records.
• Perform screening on tools such as RDC, Fircosoft,Factiva.
• Identify potential areas of compliance vulnerability and risk; develop and implement corrective action plans for the resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.

Transaction monitoring: (Dubai based Bank)

• As a part of L2 investigator perform detailed investigations on the cases escalated by L1 team and take decisions on the basis of L1 recommendations whether the case should be concluded for Additional RFI, SAR/Exit ,Satisfactory/Unsatisfactory Closure of case,escalate to L3 sanctions).
• Monitoring of transactions ,investigating and identifying suspicious activities in customers account
• Raising additional query requests to obtain additional information and documents to get clarification on the alerted transactions of the customer

• Reviewing High, Medium and Low risk entities.(e.g. Private entities,Government Bodies, Funds, Trust, regulated entities, Money service business,listed entities.
• Adhere to set quality and time target. Perform outreach for the discrepancies.
• Conducting search in various internal & external databases such as corporate registries, Regulator, Exchange, Bloomberg, SEC filings, Annual Report etc.
• Perform Quality check of the cases processed by Analyst to avoid errors and customer complaint.
• Provide training to new staff in the department.