Summary
Overview
Work History
Education
Skills
Certification
Awardsrecognition
Key Result Areas
Personal Information
Languages
Timeline
Generic
SHILPA M V

SHILPA M V

BANGALORE

Summary

Be associated with an esteemed organization that offers opportunities and challenges where I can use my abilities and upgrade my knowledge and to secure a position Acquire new skills that will advantage any organization I work for through hard work and dedication Make a sound position in the organization and work enthusiastically in the team to achieve goal of the organization with devotion and hard work.

Overview

12
12
years of professional experience
1
1
Certification

Work History

Regulatory Compliance Senior Analyst

DEUTSCHE BANK
09.2022 - 10.2023
  • The primary role is reviewing, monitoring, and controlling personal trading activities of DEUTSCHE BANK employees
  • Assisting employees on Employee Trading Policy of DEUTSCHE BANK
  • Assisting employees on ETRA application
  • Providing technical help to employees on ETRA application
  • Review and action on the personal trade requests disclosed by the employee for compliance review
  • Review of trade confirmation provided by brokers and employees
  • Dealing with Designated and Non designated broker accounts
  • APAC, UK INDIA
  • Reconciliation trade accounts
  • Uploading CCN statements
  • Act against employees those violate the Employee Trading Policy of company
  • Performing Surveillance activity on trades executed by employees such as market abuse, trade without approval through Actimize application
  • Implementing and enforcing compliance policies ie
  • Code of ethics, Employee Trading Policy, Records Management Policy, Gift and Entertainment Policy etc
  • Monitoring and maintaining employee personal trading data (Market Transactions and Private Investments).

CSE Specialist-Banking

HSBC
12.2020 - 08.2022
  • Transferring payments between two accounts
  • Account openings, amendments, and closures
  • Portfolio Openings such as Advisory, Discretionary, and non-discretionary
  • Deals with ISA accounts
  • Explains Service bank products
  • Maintaining contacts with Relationship manager for each customer.

Process Specialist (SUPERVISOR) in Private Banking, Wealth management

Infosys
03.2015 - 03.2020
  • Deals with the Clients accounts such as Opening New accounts, providing new loans by performing al KYC checks to the clients and closure of accounts
  • Onboarding Clients Accounts
  • Extract the LIBOR rates form the treasury website
  • Liaise with the Treasury department for the rates for the Loan Roll Overs
  • Identify and escalate any suspicious or unusual matters to AML & Line of Business Compliance for further investigation
  • Verifying client documents and front office also liaise with the Client Relationship managers
  • Checking and providing approval of work conducted by junior team members
  • Performs independent check of KYC information provided by front office
  • Roll over re sets, facility set ups also liaise with treasury team for the rates
  • Extract the LIBOR rates published each business day
  • Preparing FCA (Financial Conduct Authority) Annual Statements
  • Preparing CCA (Client Credit Account) Annual statements
  • Transferring payments between two accounts within the Cut off time which includes currencies of GBP, EURO, USD and CHF
  • Processing the amendments of Client accounts as requested
  • Set up new loans, extend new loans and the limit amendments
  • Work with Management to implement process improvements (coach and training staff) that are developed
  • Work with Management to implement process improvements that are developed
  • Checking and providing approval of work conducted by junior team members
  • Performs independent check of KYC information provided by front office
  • Develop strong working relationships with the RMs
  • One of the key responsibilities will be coordination and collection of client specific information and completion of documentation to assist in the on-boarding of new clients
  • And another important responsibility will be performing ongoing customer due diligence including maintenance and updating of AML and KYC records and information for existing clients
  • Furthermore, this role will identify and escalate any suspicious or unusual matters to AML & Line of Business Compliance for further investigation.

Subject Matter Expert

24/7 Inc.
07.2013 - 11.2014
  • Mentor new associates to handle chats
  • Assist them to handle multiple queries by the customers
  • Ensure the compliance norms are adhered to.

Social Interactive Media Advisor

24/7 Inc.
08.2011 - 06.2013
  • Address customer queries related to credit cards through e-chat
  • Ensure every chat is Compliant and abides to the norms of the organization
  • Maintain the quality of communication to ensure customer satisfaction
  • Handle multiple chats during high volumes
  • Extend support after regular hours to meet business targets.

Education

BCOM -

CHRIST COLLEGE IRINJALAJUDA
01.2010

PUC -

BETHANY ST JOHNS HIGHER SECONDARY SCHOOL
01.2007

SSLC -

SREE NARAYAN VIDHYA NIKETHAN CENTRAL SCHOOL
01.2005

Skills

  • Regulatory Compliance
  • Employee Trading Policy
  • ETRA application
  • Technical Help
  • Trade Review
  • Broker Accounts
  • Reconciliation
  • CCN Statements
  • Market Abuse Surveillance
  • Compliance Policies
  • Records Management
  • Personal Trading Data
  • Payments Transfer
  • Account Openings
  • Portfolio Openings
  • ISA Accounts
  • Service Bank Products
  • Relationship Management
  • KYC Checks
  • Suspicious Activity Escalation
  • Client Document Verification
  • Approval of Work Conducted
  • LIBOR Rates Extraction
  • FCA Annual Statements
  • CCA Annual Statements
  • Currency Transfers
  • Loan Setups and Amendments
  • Process Improvements
  • Customer Due Diligence
  • Chat Handling
  • Compliance Norms Adherence
  • Quality Communication
  • Customer Satisfaction
  • Process Performance Tracking
  • Risk Mitigation
  • Process Re-engineering
  • Reporting Requirements
  • QC/QA Programs
  • Failure Mode and Effect Analysis
  • Learning and Innovation
  • SLA Adherence
  • Planning and Prioritizing
  • Work Allocation Management
  • Awards and Recognition
  • Transaction Monitoring Certification
  • Yellow Belt Certification
  • Mile Stone 20 Certification

Certification

  • Certified Transaction Monitoring
  • Yellow Belt- fundamental Data (SIX SIGMA)
  • MILE STONE 2.0

Awardsrecognition

  • I-star Award
  • Spot Award
  • Consistent performer Award

Key Result Areas

  • Customer interaction: Handles /helps resolve escalations at the process level to ensure high customer satisfaction
  • Seeks to understand customer needs and builds credibility with customer by providing inputs on solutions. Integrates client’s feedback and delivers according to agreed specifications and timelines to ensure highest level of client satisfaction
  • Pro-actively identifies red flag in own work output and escalates them for immediate action
  • Exhibits sound understating of process performance and tracking requirements used in day-to-day operation (Quality TAT/Productivity etc needed to provide the required data on Performance.
  • Applying working knowledge of risk mitigation practices to identify risks and Liabilities associated with own process.
  • Process Re-engineering: Initiates the Bi-annual SOP (standard Operating procedure) and signed off within agreed time line.
  • Shows working knowledge of the various reporting requirements [Templates, Frequency etc]
  • Sufficient to generate accurate reports and highlight issues and pro-actively identify and communicate risks in meeting SLA’s/Reporting requirements
  • Conducts QC/QA programmes as part of the quality plan to ensure adherence to process steps.
  • Learning & Innovation: Prepares FMEA (Failure mode and effect analysis) implements new ideas and challenge mapping.
  • Demonstrates a broad knowledge of contractual SLA and how they are related to his/her performance to deliver according to Client expectation.
  • Learning and Innovation: Comes up with new ideas to improve in own work area identifies personal learning goals, leverage formal as well as informal learning mechanism.
  • Shows awareness of planning and prioritizing principles to understand the impact of effective schedule on deliverables.
  • Manage work allocation /tasks during absenteeism
  • Create adequate back-ups and shows awareness of staff management principles and could implement when needed.

Personal Information

  • Father's Name: M. Velayudhan
  • Gender: Female
  • Nationality: Indian
  • Marital Status: Married
  • Religion: Hindu

Languages

Malayalam
First Language
English
Upper Intermediate (B2)
B2
Hindi
Intermediate (B1)
B1
Kannada
Elementary (A2)
A2

Timeline

Regulatory Compliance Senior Analyst

DEUTSCHE BANK
09.2022 - 10.2023

CSE Specialist-Banking

HSBC
12.2020 - 08.2022

Process Specialist (SUPERVISOR) in Private Banking, Wealth management

Infosys
03.2015 - 03.2020

Subject Matter Expert

24/7 Inc.
07.2013 - 11.2014

Social Interactive Media Advisor

24/7 Inc.
08.2011 - 06.2013

BCOM -

CHRIST COLLEGE IRINJALAJUDA

PUC -

BETHANY ST JOHNS HIGHER SECONDARY SCHOOL

SSLC -

SREE NARAYAN VIDHYA NIKETHAN CENTRAL SCHOOL
SHILPA M V