Shreyanka M C

• Lead a QC Team, Responsible for the team's production and quality output
• Coordinate with AML lead of the client in case of true matches for further action to be taken
• Responsible for responding to queries from a QC reviwers
• Maintain quality metrices for the entire project, and ensure any deviations are addressed via trainings, personal discussions, or developing tools to help improve quality
• Responsible for resourcing and management of high performing individuals
• Stake holder management includes setting expectation and delivering quality output within the set deadlines.
• Collaborate with operations, client compliance and other teams to ensure quality output is delivered to the client

• SME Lead of an AML KYC – Data and Document Refresh Project, for a multinational investment banker
• Have been involved in training the new joiners on the end-to-end process (8 batches were trained)
• Responsible for addressing policy and procedural queries
• Worked at the client location in the initial phase, and managed client expectation on deliverables
• Lead the quality discussions with client, and other stake holders, and ensure remediation of key issues using the right tools and techniques. Also ensuring the policy and procedural updates are cascaded to the team in timely manner
• Provide SME support, which includes policy clarification, process clarification and QA of
  final deliverables

Anti-Money Laundering – (Due Diligence Solutions - Forensic)

• Creating profile (Company+2 individuals or 4 individuals) as per risk involved.
• Background verification on entities and individuals through online databases including corporate registries, stock exchanges, courthouses, and media amongst others
• Sanctions and negative list screening on lists issued by various global and country specific regulators/ organizations including office of foreign assets control (OFAC), Her Majesty’s Treasury (HM Treasury) and United Nations (UN)
• Identification of politically exposed persons (PEP’s) and background checks for any potential Anti Money Laundering (AML)/ Foreign Corrupt Practice Act (FCPA) risk
• Exposure on multiple geographies involving various jurisdictions with varied language capabilities including English, Spanish, Mandarin and Portuguese

Anti-Money Laundering – (Know Your Customer/Customer Due Diligence)

• Conduct KYC Remediation for a leading bank
• Review information for new and existing clients of the bank to ensure its AML/KYC compliance
• Planning and execution of the entire project. Part of the management team in ensuring the timely delivery of deliverables
• Was also part of the team that recommended improvements to the existing system to help enhancement of the process and the product
• Tier 1 Quality assurer which involves KYC checks for the client onboarding for the client and affirming their EMIR compliance. Enriching Reference Data for the Investment Advisors and Beneficial Owners to ensure smooth reporting and data flows

Anti-Money Laundering – (Client Onboarding) Foreign Account Tax Compliance Act (FATCA) and CRS Entity Self-certification Form

• Conducting periodic review on FATCA forms (W8 & W9) and evaluating the address,GIIN/EIN/SSN mentioned on the forms
• Classifying accounts under FATCA and CRS Entity Self-certification Form verification
• Evaluating Entity/Organization Details such as Name of Entity or Organization, Country of Incorporation or Organization, TIN/EIN, Permanent Residence Address, Country,Postal/Zip Code, and Country/Countries of tax residence
• Verify and validate client provided data and process it through our COB tool.
• CRS Extractions and Self-Cert Validations and Performing KYC checks for the clienton boarding for the client and affirming their EMIR compliance.

OLO (Office and Legal Obligations)

• Exposure Drafting, updating and mapping obligations and rules derived from various regulations for one of the major investment banks of USA.