Summary
Overview
Work History
Education
Skills
Accomplishments
Certification
Timeline
Manager
Shivkant (CAMS) Tiwari

Shivkant (CAMS) Tiwari

Manager
Pune

Summary

Experienced and driven Manager with a proven track record of helping to lead companies by ensuring they are functioning in complete compliance with all national and international rules and regulations. I possess excellent communication skills, allowing for the cultivation of positive and mutually beneficial business relationships, while keeping strong ethics at the forefront of my goals. I bring forth a superior knowledge of compliance laws and regulations, as well as standard business law.

Overview

9
9
years of professional experience
10
10
Certifications

Work History

Manager

Genpact
Pune
02.2022 - Current
  • Supporting for new initiatives from the Group impacting the GFCC function.
  • Maintain accurate, organized and current compliance records and documentation in a manner consistent with the department’s needs.
  • Track record working at a Fintech or Blockchain/Cryptocurrency.
  • Establish feedback loop between analyst and management.
  • Coordinate end-to-end Issue Management process and ensure Contact Center is in compliance with Issue Management requirements
  • Partner with Business Leaders, Business SME's, Control, Compliance, Ops Risk, Legal, and other partners to identify Self-Identified Issues, or respond to Issues from Independent Risk Management/Audit/Exams, coordinate and perform Root Cause Analysis, Corrective Action Development and ensure subsequent mitigation of risk and gaps through what is delivered in the Corrective Actions.
  • Coordinate and perform Sustainability Testing with the business to ensure Corrective Actions are effective and sustainable over time. Ensure based on the results that Issues are ready to be validated or propose changes to enhance controls prior to validation.
  • Perform Issue updates, Issue reporting, and Issue process development
  • Create new case files as needed based on suspicious activity.
  • Help the AML team to track and complete case files to investigate suspicious activity.
  • Prepare and review file documents for AML investigations with ad hoc testing.
  • Coordinate with the Sanctions, ABC and ML team to ensure transactions are appropriately documented.
  • Perform periodic reviews of the company's high risk customers and mitigate financial crimes risk.
  • Stay current on company and government AML compliance rules and regulations.
  • Designs and execute reports to measure success and performance of AML Compliance initiatives, program, operations, critical metrics and Key Risk Indicators.
  • Participates in efforts and/or activities that ensure compliance with applicable federal, state, and local laws and regulations
  • Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors
  • Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors
  • Plan, schedule and track timelines and milestones towards corrective actions and remediation's.
  • Communications related to issues including the leadership, stakeholders, and bank partner including regular reporting of status to stakeholders and Senior Management
  • Day-to-day management and development of the FCU, and continuing to build and enhance the level of capability.
  • Partner with colleagues across CCB to plan and manage a variety of tactical and strategic projects and change initiatives.
  • Responsible for executing policies and procedures.
  • Partnership with key individuals within the organization to reduce risk exposure, and remediate open issues in a structured manner
  • Working in facilitating external regulatory examinations, internal audits and coordinate with business to ensure timely closure of any audit findings / action items resulting from Regulatory/ internal/ external audit.
  • Collection and analysis of unique identifying information from the counterparty as supplied by coverage.

Team Lead

IBM
Pune
05.2021 - 02.2022
  • Leading delivery for AML and KYC operations, define & drive strategic roadmap for the business.
  • P&L Owner of the Business & operate the Business as per Operating Plans.
  • Establish key relationship with key client and G partners. Handling hiring, training and leading FCC talent.
  • Work closely with Practice to evangelize scalable solutions in the Financial Crimes domain & strengthen the value proposition
  • Provide thought leadership and detailed execution on diverse projects.
  • Identifies areas of risk and make recommendations on operational improvements, quality assurance and any additional training crucial to mitigate risk.
  • Independently work to resolve discrepancies with clients and departments or individuals throughout the firm.
  • Process improvement and efficiency.
  • Arrange or assist in the development and delivery of training all staff on relevant policies and procedures to forestall and prevent financial crime, including economic and trade sanctions, record-keeping and customer due diligence requirements.
  • Maintain various regulatory logs relating to the role including the PEPs and declined business register, and derogation's from CDD/KYC procedure.
  • Contribute to the annual business planning process by assisting the Director, Risk & Compliance to develop and agree a compliance monitoring program which meets the needs of the business and addresses any areas specifically highlighted for compliance monitoring, including the development of a Compliance Risk Assessment, and to implement and track the same with specific reference to financial crime matters.
  • Support the Director, Risk & Compliance to engage in wider business projects from a Compliance perspective to ensure that regulatory and legal aspects are considered and implemented and to communicate the same within the Compliance team.
  • Support the annual audit and internal audit processes.
  • Allocated tasks are proactively managed to resolution, with appropriate prioritization.
  • Be an expert in the allocated field of responsibility, being able to provide advice and technical input as required to both fee earners and operations staff.
  • Deliver departmental projects to quality standards, deadlines and costs.

Associate

Deutsche Bank Group
Bengaluru
08.2018 - 05.2021
  • Providing support as an SME to the new joiner and training them on the policies and Procedure
  • Navigating them through various types of CDD panel and helping them how to extract the documents using both Internal and External sources.
  • Sharing best practices within the team in order to streamline the process and taking initiate of various activities which are alien by the Manager..
  • Manages multiple teams of staff involved in preparing and reviewing client profiles for clients and monitoring global issues, risks, and events to determine impact on clients' risk level.
  • Manages and provides recommendations to the review framework to help ensure that the process, from preparation to approval, is equipped with the appropriate checks and balances to ensure accuracy.
  • Serves as the escalation point for high risk and complex issues regarding client profiles, keeping leadership apprised of potential areas of concern.
  • Collaborates with internal stakeholders from other functions to help coordinate AML/KYC/Prevention procedures and policies in overall compliance strategy. Provides input to coordination of AML/KYC/Prevention procedures and policies in overall compliance strategy.
  • Primary escalation points for clients, responsible for client satisfaction, overall client management and delivery of client solutions
  • Completed analysis of transactional information to identify risk, trends and potential wary activity
  • Ensuring compliance with all AML laws, regulations, guidelines, written procedures; OFAC, CIP, KYC, customer/transaction monitoring Maintaining with senior advisors
  • Maintaining overview with AFC,MLRO Business regulation and management Production submitting and Lending corporate - ACO, MiFID and all escalations.
  • Provide of regulatory compliance, risk assessment, business process controls including the development of project plans and approach.
  • I have ability to form alliances and work with companies developing AML/Financial Crime tools/Applications, Fintechs, RPA and Automation Companies, etc.
  • Knowledge of Conduct related risks such as Conflict of Interest, Insider Trading, Market abuse and ability to design and implement frameworks pertaining to mitigation of Conduct Risk.
  • As Global AML standard such as FATF, Basel, Wolfsberg along with comprehensive understanding of central bank regulations.

Senior Analyst CDD

Mphasis LTD
Bengaluru
03.2017 - 08.2018
  • Working for Transaction Monitoring - Anti-Money Laundering (AML) model validation and development, Scenario/rule testing, Threshold tuning andoptimization, Behavioral analytics, Customer segmentation, Country risk reporting, L1 and L2 alert investigation and review, Data quality assessments, Risk typology and coverage assessment, Regulatory remediation.
  • Working as a Quality Checker and performed 100% accuracy.
  • Know Your Customer or Business - Customer risk rating assessment, Sanctions rules/model validation and development, Political exposed person (PEP) checks, Adverse Media Search, Alert Disposition for Sanction and Negative New alerts, Periodic KYC or KYB refresh, Data-driven continuous KYC or KYB.
  • Fraud, Anti-Bribery and Corruption - Wire transfer frauds, Money movement frauds, Human/drug trafficking, Forensic data analytics, Forensic and fraud investigations, Integrity due diligence, Internal, email,account and ID fraud.
  • Provided training to Local and Onshore KYC teams.
  • I was a part of QC team and provided my feedback to the case lead and shared bestAct as an AML subject matter expert, providing direction and guidance to analysts on appropriate remediation action.
  • Working closely with Senior Relationship Managers (SRMs) to ensure the delivery of EDD reviews within agreed time frames.
  • Advising on KYC Assurance matters related to the risk review process.
  • Serving as the escalation point for KYCor KYB Assurance related issues from the SRMs and EVB. Performing four eye reviews (QA) of other team members Files.

KYC - Associate

Altisource Business Solution Pvt Ltd
Bengaluru
07.2014 - 02.2017
  • J U LY 2 014 — F EBRUARY 2017
  • PEP and sanctions screening on new and existing customers / entities to evaluate PEP, sanctions and AML risks
  • Transaction monitoring and Suspicious Activity Reporting
  • Rectify the impact of any customer detriment (remediation and / or redress)
  • Review and approval of KYC documentation, information, research and Due Diligence for high- risk customers / entities
  • Part of a specialist remediation team responsible for reviewing the PEP and Sanctioned Foreign Nationals population culminating in the development and roll out of an EDD process across Lloyd Retail Banking Group
  • Production and submission of comprehensive PEP files, ensuring Enhanced Due Diligence requirements are met
  • Summarizing the rational for maintaining or exiting the relationship
  • Providing MI to prove the effectiveness of EDD standards, KPIs, SLAs and confidentiality standards
  • Comparing sales records and suitability letters against both internal standards and regulatory requirements
  • Production, analysis and presentation of MI to ensure the team were meeting KPIs.

Education

PGDBA - International Finance

SIBM

Post Graduate - M.A - Business Economics

Government Post graduate college

B. Com - Commerce

Government Post graduate college

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Skills

Control Management Quality Control/Assurance Review/ AML/Leadership/CDD/EDD/Audit/ Regulatory/Compliance/Policies/Issues Management

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Accomplishments

  • 2 013
  • The Fundamentals Digital Marketing, Amity Future Academy Introduction to Product Management, Amity Future Academy
  • Extra-curricular activities
  • ISKCON Temple , Bengaluru
  • Volunteering and Community Service
  • Sharda Vidhya Niketan, Guna
  • School Head Boy in 12th standard
  • Won many prizes in Cultural Competitions at School level
  • Sharda Vidhya Niketan, Guna
  • Group Leader in 10th standard
  • Deutsche Bank , Bengaluru
  • Deutsche Bank R&R
  • ICSI - The Institute of Company Secretaries of India, Indore Training Coordinator of ‘ICSI at The institute of company secretaries, Indore.

Certification

HSSC -Commerce, Shard Vidhya Niketan Guna , Guna

Timeline

Manager

Genpact
02.2022 - Current

Team Lead

IBM
05.2021 - 02.2022

Associate

Deutsche Bank Group
08.2018 - 05.2021

Senior Analyst CDD

Mphasis LTD
03.2017 - 08.2018

KYC - Associate

Altisource Business Solution Pvt Ltd
07.2014 - 02.2017

PGDBA - International Finance

SIBM

Post Graduate - M.A - Business Economics

Government Post graduate college

B. Com - Commerce

Government Post graduate college

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