Summary
Overview
Work History
Education
Skills
Accomplishments
Languages
Timeline
Generic

SHIVANI TRIPATHI

Bangalore

Summary

Flexible and dependable shift manager with significant experience in planning and maintaining work schedules, managing employee relations, and collaborating with supervisors and subordinates to ensure effective customer service. Adept at handling sensitive information and adhering to regulations, seeking to leverage skills in a Know Your Customer (KYC) role.

Overview

8
8
years of professional experience

Work History

Manager -CDD

Standard Chartered
Bangalore
04.2024 - Current
  • Perform day to day management of KYC Analysts and Reviewers, including coaching and providing ongoing performance feedback
  • Foster and champion High Performance Culture where people are empowered to make decisions that affect their work/environment
  • Selection, performance management, and overall development of employees within their assigned team
  • Manage team calibration with Quality Control (QC) to close the feedback loop on quality checked records and make corrections to KYC record
  • Perform all work in accordance to department procedures and are within quality standards
  • Performance Management for direct reports
  • Manage calibration with Utility for case scheduling and hand-offs to KYC Analyst team
  • Develop the on-going KYC training plan to develop and enhance staff knowledge of business and product
  • Manage AML/KYC-related KPIs (key performance indicators) for the segment/group to ensure consistency in quality and timeliness of completion
  • Manage KYC Operations project book of work, including strategic program roll out, major and minor system enhancements
  • Work towards developing globally consistent process and practices

Team Lead

PwC
Bangalore
03.2022 - 04.2023
  • Provided first hand project training to multiple batches on boarded on the brand new KYC engagement of PWC
  • Acting as an escalation point for issues that may require Compliance and other relevant parties
  • Maintained a clean and safe work environment, resulting in a 23% reduction in complaints filed with management and a 45% increase in crew satisfaction
  • Helping PwC leadership achieve the critical client targets in timely manner with assured quality
  • Continually updated a leadership resume and honed skills by participating in various management trainings
  • Acting as a SPOC between client and PwC leadership and provided in depth detail to client's executive directors with regards to Project progression
  • Helped management onboard multiple resource by interviewing candidates for several KYC projects.

Team Lead - Quality Control Analyst(APAC Region)

JP Morgan India Pvt Ltd
Bangalore
08.2018 - 01.2022
  • To ensure high quality standards (within provided timelines) for the KYC Records conducted by KYC Analysts
  • Performing QC reviews in adherence to EDD procedures and also ensure analyst conclusions are clear, complete and supported by the information in the file
  • To identify and escalate critical issues to the Higher Management
  • Assisting in identifying problem areas and risk associates with processes and make recommendation to improve quality of KYC analyst's file work
  • To serve as a key support resource for delivering training and guidance to KYC analysts
  • To decrease regulatory and reputational risk by exercising sound judgement in approving/rejecting the submitted KYC records
  • To operate in a team environment and have regular interactions with Business, Operations and AML compliance management
  • Participated in risk based AML specific testing program, adhering to the Global Compliance Testing Standards
  • Ensuring that the testing is completed timely and within quality expectation including writing clear and concise summaries and reports with appropriate supportive documentation
  • Completed key projects as assigned by the management
  • Maintaining proactive communication with Senior Management including periodic updates on identify or potential issues.

AML/ KYC Analyst

Societe Generale Global Solution Centre
Bangalore
05.2017 - 07.2018
  • Performing the Customer due diligence on new Clients, requesting the KYC information, documentation, review and verification of received documentation and making an analytical risk assessment for new clients
  • Thoroughly and succinctly document the research and analysis related to the financial activity and related entities of clients, for an audience that includes management, regulators, internal audit, senior managers and internal compliance
  • Performing ongoing transaction monitoring by way of: - Identifying instances of potential suspicious activities pulled by one of many AML Software Vendors like world check research and Lexi, Nexis due diligence
  • Reviewing the transactions pulled over suspicious activity and identifying whether are they the part of suspicious transactions and is Suspicious Activity Report (SAR) to be filled
  • If in case, the activity is identified then filing the SAR by escalating it to relevant financial Intelligence Unit
  • Periodical review of KYC records as to completeness, including verifying that due diligence has been performed and that CBC standards are complied with; also, that the files and risk assessments are current and up to date
  • Process entries to open/close client's account on our KYC/ Related parties and CDD database, instruct client desk to open/close the accounts on account level in equation where applicable
  • Conducting Enhanced Due Diligence (EDD) by collecting information like: purpose of account, country of domicile, description of client's business activities, identifying shareholder structure; for customers who are in high risk jurisdiction
  • Maintain continuous contact with customer to keep customer file updated
  • Process amended client' records on our KYC/RP and CDD database
  • Communicate effectively and efficiently with relevant internal and external parties to obtain KYC documents
  • Have a thorough understanding of client's business and related parties in order to monitor client's activities for unusual transactions
  • Perform further investigation on identified suspicious client and client's transactions and report to KYC/Anti Money Laundering compliance officer
  • Responsible for a good understanding of CBC's due diligence regulations, policies and procedures
  • Part of APAC team dealing with the clients located in APAC locations thereby abiding to regulatory requirements of following countries: Hongkong, Singapore, Australia, Japan, China, India.

Practitioner

Concentrix Pvt Ltd Bangalore
Bangalore
05.2016 - 12.2016
  • Answer calls professionally to provide services about the product
  • Keep records of customer interactions and transactions
  • Listen to customer's query patiently and to provide the best possible resolution
  • Follow up to ensure that appropriate actions were taken on customer's request
  • Refer unsolved customer grievances or special request to designated department for further investigation.

Education

MBA -

Dayananda Sagar University
01-2021

Bachelor of commerce -

National Post Graduate College
01-2016

Skills

  • Corporate Investment Banking
  • Correspondent Banking
  • Compliance
  • Anti Money Laundering
  • Simplified Due Diligence
  • Customer Due Deligence PEPs
  • Fintech Third Party Payments
  • People Management
  • Facilitate Training Sessions
  • MS suite (Word, PPT, Excel)

Accomplishments

  • Delivery excellence award @PwC
  • Achiever of the year @GeneraleGenerale Global Solution Centre
  • Received sport award in July 2017(within four months) in SGGSC for the outstanding performance
  • Extended trainings to new joining as well as the existing team members on new process updates and tools impleorganisationn the organisation

Languages

Hindi
First Language
English
Proficient (C2)
C2

Timeline

Manager -CDD

Standard Chartered
04.2024 - Current

Team Lead

PwC
03.2022 - 04.2023

Team Lead - Quality Control Analyst(APAC Region)

JP Morgan India Pvt Ltd
08.2018 - 01.2022

AML/ KYC Analyst

Societe Generale Global Solution Centre
05.2017 - 07.2018

Practitioner

Concentrix Pvt Ltd Bangalore
05.2016 - 12.2016

MBA -

Dayananda Sagar University

Bachelor of commerce -

National Post Graduate College

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