SHRESTHA GUNJAN

• Responsibilities included conducting thorough KYC/AML analysis, sanctions screening, and preparing due diligence reports, ensuring all activities comply with regulatory standards and internal policies.
• Conducted comprehensive KYC/AML analysis and sanctions screening, ensuring compliance with regulatory standards and internal policies.
• Performed Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) for a diverse portfolio of individual and corporate clients, adhering to AML regulations.
• Identified high-risk entities through sanctions, PEP, and adverse media screening, triggering appropriate escalation protocols.
• Executed thorough desktop research, utilizing public domain sources, corporate registries, regulatory publications, and media databases.
• Prepared concise and accurate due diligence reports, highlighting ownership structures, business activities, and identified red flags.

Achievements:

• Maintained strict adherence to Service Level Agreements (SLAs), internal policies, confidentiality standards, and audit requirements.
• Ensured comprehensive compliance and risk mitigation through meticulous KYC/AML analysis and reporting.
• Collaborated with cross-functional teams to identify opportunities for process improvement and increased efficiency.
• Enhanced team collaboration by providing clear communication of complex findings through visualizations and reports.
• Improved internal knowledge sharing by developing comprehensive documentation outlining standard operating procedures for various tasks.
• Increased efficiency by streamlining data analysis processes and implementing automation tools.
• Streamlined reporting procedures by creating user-friendly dashboards for easy access to key performance indicators.
• Enhanced customer satisfaction rates through detailed analysis of customer feedback data and subsequent improvements in service offerings.
• Implemented predictive analytics techniques that enabled proactive adjustments to business strategies based on emerging trends.

• Support in reviewing documents and validating the customer information against the system of records. If any issues are identified, the same should be recorded in the system.
• Ability to work quickly and accurately while maintaining acceptable standards of workmanship.
• Identify ways to improve individual processes within established procedures.
• Perform routine administrative and operational tasks related to the process.

Credit Management.

• Established long-term client relationships through consistent delivery of high-quality products and services.
• Enhanced customer satisfaction by streamlining communication channels and improving response times.
• Analysis of the paying habits of customers who are delinquent in the payment of bills for simple to medium transactions, and recommends actions to resolve credit problems.
• Evaluates customer records and recommends that the account be closed, and the credit limit be reduced.

• Completed a comprehensive training program focused on trading and investment, covering stock, forex, and commodities terminology.
• Gained expertise in advanced topics, including technical analysis, fundamental ratios, risk management, trading psychology, demat, and simulator practice.
• Enabling the creation of tailored products and the implementation of risk management strategies.
• Escalating all unsolved issues to the team with the solution to get them resolved.
• Managing the dunning letters, which include issuing, checking, and sending those letters.
• Applied learned skills during an internship by creating technical reports, engaging with clients, and managing social media platforms.
• Streamlined research processes by developing efficient methods of data collection and organization.
• Increased client satisfaction by providing timely, relevant, and accurate equity research reports.

• Executed live trading using both technical and fundamental analysis.
• Gained foundational knowledge of the life insurance industry.
• Communicating with the client to understand their needs and ways to get it sorted.
• Managing the dunning letters, which include issuing, checking, and sending those letters.
• Conducted financial planning for individuals, providing tailored strategies based on their needs.
• Performed in-depth research analysis to support investment decisions.
• Led client acquisition efforts, building and maintaining strong client relationships.
• Supported staff members in their daily tasks, reducing workload burden and allowing for increased focus on higher-priority assignments.
• Gained valuable experience working within a specific industry, applying learned concepts directly into relevant work situations.