SHUBHAM SRIVASTAVA
Varanasi
Summary
Experienced AML/KYC analyst with hands-on expertise in risk-based client onboarding, adverse media screening, and UBO identification. Looking to contribute my in-depth knowledge of regulatory requirements and investigative techniques to a forward-thinking compliance team, while continuing to grow within the evolving financial crime risk domain.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Senior Associate – AML/KYC
HCL Technologies
10.2021 - Current
- Executed in-depth analysis of over 500 complex KYC files, ensuring 100% compliance with internal policies and global regulatory frameworks.
- Escalated 150+ alerts by proactively investigating transactional patterns, directly aiding in the early detection of suspicious activities and reducing false positives by 20%.
- Led Enhanced Due Diligence (EDD) reviews for high-risk entities, resulting in a 25% reduction in client portfolio risk through strategic risk-rating improvements.
- Validated customer identities and business purposes using World-Check and internal tools, accelerating onboarding time by 15% while maintaining data integrity.
- Achieved a consistent 98%+ QA score across 12 consecutive months by partnering with audit and compliance teams to streamline error resolution processes.
- Onboarded 300+ retail and corporate clients by performing thorough due diligence in alignment with AML, BSA, and FATF standards, reducing regulatory exposure.
- Identified and flagged 20+ cases of structuring, layering, and other red flag behaviors, contributing to multiple SAR filings and strengthening compliance enforcement.
- Documented end-to-end KYC findings in accordance with audit standards, ensuring readiness for both internal reviews and external regulatory inspections.
- Utilized platforms like Actimize, World-Check, and internal CRMs to cross-verify financial patterns, beneficial ownership structures, and source of funds.
- Delivered 100% SLA adherence on time-sensitive KYC file reviews for remediation projects and new client onboarding, supporting business continuity under tight deadlines.
Associate – KYC/AML Operations
Tata Consultancy Services
04.2018 - 10.2021
- Studied customer due diligence (CDD) and enhanced due diligence (EDD) procedures to evaluate customer risk levels.
- Reviewed sample KYC documentation such as PAN, Aadhaar, passports, utility bills, and company registration certificates.
- Analyzed case studies involving suspicious transactions to understand red flag indicators and money laundering typologies.
- Developed working knowledge of UBO (Ultimate Beneficial Owner) identification and Source of Funds (SoF)/Source of Wealth (SoW) checks.
- Delivered 100% SLA compliance on volume-based KYC file processing, supporting both urgent projects and regular operations.
- Completed comprehensive coursework on Anti-Money Laundering (AML) and Know Your Customer (KYC) regulations, including FATF and PMLA standards.
Education
Bachelor of Commerce -
Udai Pratap College
01.2016
MBA - HR And Finance
Swami Vivekanand Subharti University
01.2022
Skills
- AML/BSA Regulations & Compliance
- Enhanced due diligence evaluations
- Fraud detection monitoring
- SAR analysis and reporting
- Fraud assessment
- Documentation for regulatory standards
- Skilled in LexisNexis research and word-check
- Experience with case management software
- Quality assurance management
- Protection of sensitive information
Certification
- Certified Anti-Money Laundering Specialist
- KYC/CDD Certification
- Rewarded best Employee of the month in 2022
- Awarded Runner trophy on 26th Jan 2020
- Foundation Certificate In Banking
- Foundation Certificate In Financial Service
- Certificate in cash management
- Certification In Consumer Lending
Timeline
Senior Associate – AML/KYC
HCL Technologies
10.2021 - Current
Associate – KYC/AML Operations
Tata Consultancy Services
04.2018 - 10.2021
MBA - HR And Finance
Swami Vivekanand Subharti University
Bachelor of Commerce -
Udai Pratap College
Similar Profiles
Srinivasan NandagopalSrinivasan Nandagopal
ETL Lead /Onshore Technical Business Analyst at HCL Technologies India & HCL Technologies NZ LtdETL Lead /Onshore Technical Business Analyst at HCL Technologies India & HCL Technologies NZ Ltd
Pooja SaxenaPooja Saxena
Senior Analyst at HCL Technologies Pvt. Ltd, HCL technologies Pvt LtdSenior Analyst at HCL Technologies Pvt. Ltd, HCL technologies Pvt Ltd
Abhishek KumarAbhishek Kumar
Data Engineer/Technical Lead at HCL Technologies Limited (HCL Tech)Data Engineer/Technical Lead at HCL Technologies Limited (HCL Tech)
Prateek MedirattaPrateek Mediratta
L2 Production Support Engineer at HCL Canada INC & HCL technologies LTDL2 Production Support Engineer at HCL Canada INC & HCL technologies LTD
Tanya DodwaniTanya Dodwani
Executive - Counselor at NSDC - Skill India International CentreExecutive - Counselor at NSDC - Skill India International Centre