SIDDHARTH SAWARN
Pune
Summary
Organized Delivery Manager with 11+ years of experience in AML/Financial Crime Compliance. Committed to day-to-day efficiency and delivery.
Overview
12
12
years of professional experience
Work History
Operations Delivery Manager
Tata Consultancy Services
01.2023 - Current
- Managing a team size of 60 people in AML/KYC project for a Bank.
- Supervising a team of Associates and Team Leads responsible for performing Event Driven Review and Transaction Monitoring for Natural Persons by monitoring the transactions and source of wealth involved to curb sector and transaction risks.
- Evaluating the performance of a team of AML/KYC Analysts responsible for performing due-diligence refresh checks on clients using appropriate research tools and external data sources.
- Drive 'Right First Time' performance and provide feedback to support maintain and improving standards.
- Manage the team's pipeline and MIS to ensure timely completion of reviews and appropriate management of the team's capacity.
- Provide support in the process of interviewing and hiring new AML/KYC Analysts.
- Evaluate performance and provide feedback via informal discussions, quarterly/semiannual meetings and annual review process.
- Maintain proactive management of client escalations, issues and other items that require special handling related to review completion.
- Coordinate and lead regular team meetings where appropriate.
- Monitored customer quality metrics and took proactive steps to implement resolutions and restore acceptable levels.
List Management
Barclays
09.2022 - 01.2023
- List Management Team falls under the Tuning and List Intelligence which manages Public and Private list for Barclays group.
- It supports Payment Screening, Transaction Monitoring team and other teams in bulk closure of False hits against PEP and Sanctions list and also takes care of remediating problematic entries and enhances the operational effectiveness of Screening systems.
Customer Service Operations Delivery Manager
Natwest(RBS Services India Private Limited)
09.2013 - 09.2022
- Managing a team size of 20+ people in APC.
- Handling all Joiners/Movers/Leavers and Workday formalities for staff reporting to me.
- Managing Volumes, Work allocation and Rewards and recognition in the team.
- Engaged in collaboration and regular calls with UK stakeholders for new process implementations.
- Raising of any AML/PEP/Sanction suspicion through the use of IMLSR (Internal money laundering suspicious report) vehicle & timely escalated all GDPR breaches occurred in department.
- Engaged in Creation & Streamlining of process documents, SOPs, BOMs.
- Identified and escalated risks in process to the systems team or respective owners/partners.
- Preparation of monthly reports and dashboards.
- Liaising and coordinating with Compliance teams and auditors.
CSO Analyst
Natwest(RBS Services India Private Limited)
09.2013 - 09.2022
- Identification of PEP and Sanction element and generating Event Driven Review as & when triggered.
- Identifying PEP & Sanction risks on Commercial, Retail and Wealth Customers.
- Determining and assessing PEP risk levels.
- To ensure full compliance with AML/Sanction regulations.
- Screening customers against PEP and Sanctions list by EU, OFAC, UN and other lists.
- Raising any Sanction element to Senior Management, Group Sanctions UK.
- Collaboration with UK stakeholders, Raise SAR for suspicions, Manage work queue.
- Worked on Automation Projects for successful implementation of Robotic Process Implementation (Level 1 of the Screening in AML Department).
- Providing process training to new joiners in the team.
CSO Analyst
Natwest(RBS Services India Private Limited)
09.2013 - 09.2022
- Performing Quality checks of the transactions processed.
- Determining and assessing Payment/Transaction risk levels.
- Conducting Error Feedback sessions for the team across locations.
- Worked closely with the quality assurance team UK.
CSO Analyst
Natwest(RBS Services India Private Limited)
09.2013 - 09.2022
- Identification of pep & Sanction element and escalating the same if it’s a match.
- Using World Check and Equifax during screening process to identify a match.
Education
Master in Business Administration (MBA) - Dual-Marketing & Human Resources
Lovely Professional University
01.2013
Bachelor In Computer Applications - undefined
L N M UNIVERSITY
01.2010
All India Senior School Certificate Examination (AISSCE) - undefined
Holy Mission High School
01.2004
All India Senior Secondary School Examination (AISSE) - undefined
Patna Central School
01.2002
Skills
- Financial crime prevention
- Anti-money laundering compliance
- PEP compliance expertise
- Customer due diligence expertise
- Fraud analysis expertise
- Equifax (e-id-personal)
- Equifax Commercial
- Lexis-Nexis
- World check
- Kritik
- ActOne
- Outlook
- Microsoft Office
- Transaction Monitoring
Personal Information
Date of Birth: 12/05/87
Accomplishments
- CAMS certified (Gold standard certificate in AML KYC Domain)
- ICA International Advanced Certificate in AML.
- Global KYC Certification from GO-AKS.
- Certified in AML/KYC exam conducted by Indian Institute of Banking and finance (IIBF).
- Multiple spot ovations recognition awards.
- Cleared AML assessment levels 1 & 2 in first attempt.
- Certificate of Workshop on Entrepreneurship skills by Nurture Talent in 2012.
- Attended workshop in Entrepreneurship Development.
- Did workshop in Advertisement and Excel.
Applications
- Equifax (e-id-personal)
- Equifax Commercial
- Lexis-Nexis
- OBAO
- Actimize Sam
- Avaloq
- Fenergo
- Qlikview
- World check
- Kritik
- ActOne
- Alfa
- NUA
- Outlook
- Microsoft Office
Timeline
Operations Delivery Manager
Tata Consultancy Services
01.2023 - Current
List Management
Barclays
09.2022 - 01.2023
Customer Service Operations Delivery Manager
Natwest(RBS Services India Private Limited)
09.2013 - 09.2022
CSO Analyst
Natwest(RBS Services India Private Limited)
09.2013 - 09.2022
CSO Analyst
Natwest(RBS Services India Private Limited)
09.2013 - 09.2022
CSO Analyst
Natwest(RBS Services India Private Limited)
09.2013 - 09.2022
Bachelor In Computer Applications - undefined
L N M UNIVERSITY
All India Senior School Certificate Examination (AISSCE) - undefined
Holy Mission High School
All India Senior Secondary School Examination (AISSE) - undefined
Patna Central School
Master in Business Administration (MBA) - Dual-Marketing & Human Resources
Lovely Professional University
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