Shweta Pandey
Mumbai
Overview
8
8
years of professional experience
1
1
Certification
Work History
Due Diligence (Contingent Employee)
Morgan Stanley
08.2022 - Current
- Research and gather derogatory information on companies and individuals
- Analyze information according to research guidelines and regulatory norms that includes compliance, Anti-Money Laundering, FCPA, and OFAC sanctions etc
- Preparing thorough due diligence reports by consolidating findings, ensuring accuracy and professionalism
- Conduct Enhanced Due Diligence and highlight in case of any Risk
- Perform Risk Based Investigation to monitor regulatory and compliance related issues.
Anti-Money Laundering Analyst
Teleperformance
02.2022 - 07.2022
- Perform enhanced due diligence and risk based investigation which comprised Anti-Money Laundering risk assessments to Monitor AML related issues, workflows related to transaction monitoring for fraud, risk, sanctions and AML
- Review for all High-risk entity types as per policy regulations, review customer profile, review linked associations, identify the unusual activity and eliminate the risk with a conclusion
- Escalate the suspicious transaction to FIU with a summarised report of risk and red flags.
Deputy Manager | Retail NR: Escalation and Service Quality Management
Kotak Mahindra Bank Ltd
04.2019 - 04.2021
- Handling Pan India NR Escalation of customers to RBI, SEBI, IRDA, Bank MD, Business Head level Escalation
- Submit recommendations for product development and process enhancement based on root cause analysis, drive customer satisfaction, and implement process improvements
- Conducting weekly training to NR Service team pertained to amendments in regulatory requirements
- Issuing Black Spot-on Non-adherence of Service and Regulatory requirement
- Drafting and Vetting resolution email to Senior Management Escalation cases in coordination with Legal and Compliance team.
Assistant Manager | Retail NR: Service Relationship Manager
Kotak Mahindra Bank Ltd
04.2017 - 03.2019
- Co-ordination with internal teams (Compliance, Legal, Product, Operations and Process) for customer service
- Co-ordinating with client for Re-KYC, FATCA and compliance requirement adherence
- Generating new to bank leads and work upon the lead conversion
- Non-Resident Business Acquisition Project Management with then Non-Resident Business Head.
Education
Bachelors of Banking and Insurance -
Thakur College of Science And Commerce
Kandivali, Mumbai01.2016
Higher Secondary School Certificate in Commerce -
Thakur College of Science And Commerce
Kandivali, Mumbai01.2013
Secondary School Certificate -
St. Xaviers High School
Borivali, Mumbai01.2011
Certification
- Certified Anti-Money Laundering Expert IndiaForensic (CAME) | Riskpro Learning • 2024
- Risk Based Approach to Anti-Money Laundering, IndiaForensic | Riskpro Learning, 2024
- Certification in Shell Company Investigation, IndiaForensic | Riskpro Learning, 2023
- Lean Six Sigma Black Belt, Aveta Business Institute, 2022
Timeline
Due Diligence (Contingent Employee)
Morgan Stanley
08.2022 - Current
Anti-Money Laundering Analyst
Teleperformance
02.2022 - 07.2022
Deputy Manager | Retail NR: Escalation and Service Quality Management
Kotak Mahindra Bank Ltd
04.2019 - 04.2021
Assistant Manager | Retail NR: Service Relationship Manager
Kotak Mahindra Bank Ltd
04.2017 - 03.2019
Bachelors of Banking and Insurance -
Thakur College of Science And Commerce
Higher Secondary School Certificate in Commerce -
Thakur College of Science And Commerce
Secondary School Certificate -
St. Xaviers High School
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