SOORAJ KASHYAP

• To execute Onboarding and Recertification of bank clients with adherence to the global KYC policies.
• Extended Support for Client Referential Services for Account opening and Account closures.
• To obtain mandatory documents and reports to perform CDD by coordinating with the RM team.
• Perform necessary checks (gov websites, 3rd parties, regulators, stock exchanges etc) to complete due diligence package required for the review and recertification.
• Identification and Verification of SMO, BOD and ownership structure and Handling screening activities.
• To liaise with compliance team, RM team and senior stake holders for the final approval of clients file.
• To maintain and deliver high standard of quality of KYC in adherence to the global and banks policy procedures.
• Follow up with clients/ RM/ Branch staff to avoid any SLA breach.
• Follow up with Relationship Managers of different jurisdiction regularly &understand the changes to the policies & procedures.
• Handling PBC Project and Screening Advisor for the Team.

• Performing KYC for New Client Adoption and Periodic Reviews with adherence to the global KYC policies.

• Proficiency in working for both Global KYC and Local KYC clients.

· Perform necessary checks (gov websites, 3rd parties, regulators, stock exchanges etc) to complete the due diligence package required for the review and recertification.

• Handling Screening activities for the team in performing individuals and client level screening for checking Negative news/PEP using internal tools (World Check, Lexis Nexis & NLS).

• Reporting for compliance team and Business approvers to provide the business view on PEP/Adverse Media news

• Responsible for monitoring MOD report and RDS follow ups.

• Expertise in performing KYC (Remediation & Renewals) for Corporate clients, NBFI and Funds (Hedge, Mutual and Pension funds)
• Effectually performed as Case lead specialist and Quality checker in doing KYC for WHEM, EMEA and APAC region.
• Classifying the risk of the clients by preparing AML summary report that includes (Sanctions, PEP concerns, Account activities and Conclusion)
• Specialized in doing Local due diligence (LDD) for product booking location countries
• Responsible for effective email drafts and follow ups regarding amendments initiated by the team
• Performed Account due diligence by checking the transactions and threshold limitations related to the client’s (EFT, Checks and Cash) transactions and classify the reason for unusual activities (spikes & Lulls)
• Handled the team as an (SME) by conducting hurdle meetings and send MOM’s across team
• Monitoring EOD and WTD reports of entire team and extend my support to Associates and Managers

• Performing KYC (Remediation) for Corporate clients and NBFI.
• Effectually performed as Case lead Support in doing KYC & AML risk review.
• Responsible for effective email drafts and follow ups regarding amendments initiated by the team.

• Expertise in performing trade check and periodic review based on the risk rating of client.
• Off boarding and Re - activating the customers based on the client requirement and their trading status.
• Tracking the errors by doing quality checks as per the guidelines and policies specified by the Client.