SANDEEP PILLAI
Associate Director
Mumbai
Summary
Experienced professional with a strong focus on regulatory compliance and assignments. Adept at navigating complex regulatory frameworks and ensuring adherence to industry standards. Proven track record of successfully implementing and managing regulatory processes, resulting in improved operational efficiency and compliance. Skilled in conducting thorough research and analysis to identify potential risks and develop effective strategies for mitigating them. Seeking opportunities to leverage expertise in regulatory affairs to drive organizational success.
Overview
19
19
years of professional experience
1
1
Certification
4
4
Languages
Work History
Associate Director-DDP
Standard Chartered Bank
11.2022 - Current
- Ensuring appropriate Compliance to policies & procedures while Reviewing documents as a Checker and granting of FPI registration
- Also Renewing the license prior to expiry of license post receiving necessary documents and fees
- Timely preparation of Monthly, Quarterly, Half yearly and Yearly reports and submission to the regulators
- Ensuring emails received from Regulators with respect to Data, information and documentation are responded within the prescribed timelines
- Managing and designing the Internal Systems in line with various Regulatory changes and ensuring the output in form of reports meet the Regulator's requirements
- Coordinating with various Operations team and provide data as per their requirements for Regulatory and other reporting
- Timely completion of miscellaneous instructions received from FPI clients and informing the client facing team
- Compiling and submission of data to Auditors during Annual audit
- Ensuring timely help to Client Facing Team in resolving client queries
- Handling various Projects with respect to various Regulatory Changes like Legal Entity - Beneficial Ownership remediation (LE-BO), Standard Operating Procesures (SOP) dated 24 August 2023, Streamlining of Yearly, Quarterly and Monthly reporting to SEBI, Semi-Automating manual trackers etc
Associate (DDP Operations)
Deutsche Bank
08.2019 - 11.2022
- Ensuring appropriate Compliance to policies & procedures while Reviewing documents as a Maker and granting of FPI registration
- Also Renewing the license prior to expiry of the registration post receiving necessary documents and fees
- Timely preparation of Monthly, Quarterly, Half yearly and Yearly reports and submission to the regulators
- Ensuring emails received from Regulators with respect to Data, information and documentation are responded within the prescribed timelines
- Managing and designing the Internal Systems in line with various Regulatory changes and ensuring the output in form of reports meet the Regulators requirements
- Coordinating with various Operations team and provide data as per their requirements for Regulatory and other reporting
Associate (KYC Officer-Custody and GTB)
Deutsche Bank
06.2016 - 07.2019
- Reviewing KYC documents of New Custody Clients which includes Clients Onboarded through Global custodian Route and Direct Route
- Periodic Review of Global Transaction Banking (GTB) and Custody clients
- Collecting and review of KYC documents for FPI & Custody clients, in accordance with the current procedures
- Exhibiting ownership of KYC/AML experience and client experience
- Ensuring KYC deliverables are met; establishing ongoing understanding of KYC processes and work through delays and/or inefficiencies
- Managing operational risk & client risk effectively, through diligent awareness of risks in our processes and supporting the banker in client selection process
- Ascertaining timely portfolio management while maintaining quality expectations
Deputy Branch Operations Manager
Deutsche Bank
06.2008 - 05.2016
- Led a result-oriented team of 8 members for overseeing the daily branch operations and activities without any escalations, ensuring high quality service and customer relationship management
- Handled the business banking desk; steered customer relationship management while resolving all their queries
- Ensured achievement of overall Branch Targets by generating business and cross sales
- Performed regulatory reporting part of the branch with respect to RBI, Income Tax and Service Tax
- Ensured that efficient and high quality services were provided to customers within the agreed compliance and regulatory norms; successfully handled audits such as FEMA, INTERNAL (bank auditors), EXTERNAL and Compliance audit
- Managed RPC (Regional Processing Centre) and cleared cheque related transactions at the branch with a team of 4 members
- Responded quickly and effectively to high risk accounts/suspicious transactions
- Raised a timely alert to the Compliance Team & Business Head and prepared STRs for A/Cs where suspicious transactions had been monitored
Officer
ICICI Bank
05.2006 - 06.2008
- Ramped up the client satisfaction score through reduction in Customer Wait Time (CWT) and ensured that queries & escalations were addressed on time as per Service Level Agreements (SLAs)
- Determined optimal channel mix from Mobile Banking & Internet Banking, for customers to maximize revenue/reduce costs without reducing customer satisfaction
- Ensured deepening of existing Current & Savings Accounts through cross-selling of products such as Fixed Deposits, Life & General Insurance and Gold Coins
- Acknowledged as the Best Cashier, and recognized amongst Top 20 Cashiers PAN India
- Obtained 92% score for service metrics and audits through initiatives
- Achieved cross-sell targets
Education
CFA - undefined
ICFAI University
MBA - Finance & Marketing
Siber College, Shivaji University
B.Com. - undefined
SMT. M.M.K College-Mumbai University
Certification
NISM - Depository Module, 70%
Personal Information
Date of Birth: 04/25/82
Timeline
Associate Director-DDP
Standard Chartered Bank
11.2022 - Current
Associate (DDP Operations)
Deutsche Bank
08.2019 - 11.2022
Associate (KYC Officer-Custody and GTB)
Deutsche Bank
06.2016 - 07.2019
Deputy Branch Operations Manager
Deutsche Bank
06.2008 - 05.2016
Officer
ICICI Bank
05.2006 - 06.2008
CFA - undefined
ICFAI University
MBA - Finance & Marketing
Siber College, Shivaji University
B.Com. - undefined
SMT. M.M.K College-Mumbai University
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