Shravya Sunil
Vikhroli East
Summary
Results-driven Due Diligence Analyst at UBS with expertise in KYC process management and AML compliance. Proven ability to conduct thorough background checks and UBO verifications, ensuring regulatory adherence. Skilled in report preparation and team collaboration, effectively escalating risks to enhance organizational integrity.
Overview
4
4
years of professional experience
Work History
Due Diligence Analyst
UBS
Mumbai
04.2023 - Current
- Conducted KYC reviews for Middle Office, leading to thorough examination by FCP analysts.
- Utilized Lexis Nexis Screening to confirm accuracy of screening processes.
- Verified Ultimate Beneficial Owners' Source of Wealth through supporting documentation.
- Examined UBO and client transactions to ensure consistency with client profiles.
- Reported PEP, sanctions, and other risk factors for timely escalation to appropriate teams.
- Reviewed legal documents and contracts to ensure compliance with regulatory requirements.
- Prepared comprehensive reports summarizing findings and recommendations for stakeholders.
- Coordinated with external vendors to obtain necessary documentation for evaluations.
- Gathered information from external sources such as public records and industry experts to support due diligence efforts.
KYC Analyst
UBS
Pune
07.2021 - 03.2023
- Executed end-to-end KYC processes for corporate clients across multiple regions.
- Developed and distributed diverse outreach templates, including information request forms, to business sponsors and clients.
- Conducted thorough background checks on relevant parties and escalated issues for necessary approvals.
- Utilized applications such as Fenergo, Grid, and COSIMA for comprehensive review processes.
- Analyzed client documentation to ensure compliance with regulatory requirements.
- Collaborated with cross-functional teams to resolve KYC-related issues.
- Verified customer identity using public records, financial databases, and other resources.
- Identified customer risk levels based on established criteria.
- Ensured that all AML and KYC policies are properly implemented across the organization.
- Requested financial documents from customers.
Education
PGDM -
ITM Business School
Kharghar, Navi Mumbai01.2021
BMS -
SIES College of Commerce And Economics
Sion, Mumbai01.2019
XII -
Ramnivas Ruia College
Matunga, Mumbai01.2016
X -
Fatima High School
Vidyavihar, Mumbai01.2014
Skills
- Team management skills
- Background checks
- KYC process management
- AML compliance
- UBO verification
- Legal document review
- Report preparation
- Sanctions screening
- Quality tracking
- Risk assessment
Accomplishments
• Received recognition as the top performer for the month of November 2023 from the FCP EDD team.
• Was selected as the Quality Checker with six others for a team of 30 members.
• Was selected as the Quality Checker with six others for a team of 30 members.
Extracurricular Activities
- Participated and won the cricket tournament organized by the group function.
- Participated in 3 of the CSR activities organized by the company.
- Participated in the Mandala Art sessions.
Ngo Project
Drzyashakti Trust, Worked with the NGO for the purpose of CSR Collaborations with various other companies and NGOs that can support the NGO for the projects planned for differently abled people.
Timeline
Due Diligence Analyst
UBS
04.2023 - Current
KYC Analyst
UBS
07.2021 - 03.2023
PGDM -
ITM Business School
BMS -
SIES College of Commerce And Economics
XII -
Ramnivas Ruia College
X -
Fatima High School