Shivam Paliwal
Delhi
Summary
Highly motivated finance professional with a strong background in AML/KYC, banking, financial compliance, and risk management. Seeking an opportunity to leverage my skills in a dynamic, growth-oriented organization that fosters innovation and provides an open working environment.
Overview
5
5
years of professional experience
2
2
Certifications
2
2
Languages
Work History
Career Break
.
10.2023 - 02.2025
Analyst
Saxo Bank
04.2022 - 09.2023
- I have worked in both the client's client due diligence (CDD) department for the APAC market and the ongoing due diligence (ODD) department globally.
- In client due diligence (CDD), various types of risks are associated with clients during onboarding and while providing our products or services. These risks include money laundering, adverse media, bribery and corruption, tax evasion, sanctions, and others. It is essential to identify and address all of these risks during onboarding to ensure a smooth and positive client experience. By effectively managing these risks, we can protect our company’s reputation, maintain strong client relationships, and comply with government regulations and compliance rules.
- In ongoing due diligence (ODD) prospecting, periodic client file reviews are imperative to ensure KYC documentation remains accurate and compliant with regulations.
- AML screening alerts, transaction alerts, client triggers, and time triggers are the primary focus areas that require our attention. Accordingly, we will conduct due diligence on the client account.
- An AML screening alert is primarily related to PEP, SIP, RCA, and adverse media. To verify whether it is an exact match or a false positive, we need to retrieve a report from our internal system, which is connected to Dow Jones.
- In transaction monitoring, we must analyze the client's source of funds documents to determine the origin of the money.
Data Analyst Intern
JNS Instrument Ltd
06.2021 - 07.2021
- Provided support for data analysis in the operations department.
- Used to interpret and analyze data using statistical methods.
- Interpreted and analyzed data using statistical methods.
Marketing Intern
Jay Ushin
05.2020 - 07.2020
- Managed the company’s social media accounts.
- Conducted research on our clients' industries and provided actionable advice.
Education
BBA - Business Administration And Management
Guru Gobind Singh Indraprastha University
Delhi, India 04.2001 -
12th - Commerce
Bal Bharati Pubic School , GRHM
Delhi, India 04.2001 -
Skills
- Financial Modelling
- Client due diligence & Ongoing due diligence
- Transaction Monitoring & Screening
- Communication skills
- Quick learner
- Problem-solving
Certification
Financial Modelling
Timeline
Career Break
.
10.2023 - 02.2025
Analyst
Saxo Bank
04.2022 - 09.2023
Data Analyst Intern
JNS Instrument Ltd
06.2021 - 07.2021
Marketing Intern
Jay Ushin
05.2020 - 07.2020
BBA - Business Administration And Management
Guru Gobind Singh Indraprastha University
04.2001 -
12th - Commerce
Bal Bharati Pubic School , GRHM
04.2001 -
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