Soujata Bhattacharya
Howrah
Summary
Dynamic, motivated, and results-driven AML/Compliance Team Lead with 9 years of experience in financial crime prevention. Proven ability to lead investigations, manage teams, and implement effective AML strategies. Expertise in risk assessment, regulatory compliance, and enhancing AML strategies, with a strong track record of mitigating financial crime risks and fostering a culture of compliance. Adept at developing and mentoring teams, driving operational efficiency, and ensuring adherence to regulatory standards. Excellent communication and leadership skills, with a demonstrated ability to mentor and develop team members.
Overview
9
9
years of professional experience
1
1
Certification
Work History
Financial Crime Compliance Team Lead – KYC Operations
EY (GDS)
Kolkata
08.2024 - Current
- Leading and motivating a production team of 18 members, assigning tasks, monitoring performance providing feedback & addressing employee concerns.
- Managing production schedules to meet deadlines, optimizing workflow and adjusting plans based on changing demands.
- Ensuring quality standards by monitoring production processes, identifying defects & implementing corrective measures.
- Tracking & analyzing data to identify areas for improvement and report findings to the management.
- Identifying & Troubleshooting production issues, implementing solutions to minimize downtime & maximize efficiency.
- Provide Process Training & Cross Training to staff and new joiners on process flow & quality standards.
Business Process Lead - CDD Operations
T C S
Kolkata
05.2022 - 08.2024
- Leadership & supervision of 15 member production team, productions assignment & meeting production targets
- Production planning & scheduling to meet deadlines & quality standards
- Provide Process Training & Cross Training to staff and new joiners on process flow & quality standards.
- Tracking & monitoring resource performance and providing timely feedback
- Identifying areas of process improvement & report necessary findings to the management
- Addressing to individual & collective concerns of the team members to resolve issues & maintain high production standards.
Senior KYC Operations Analyst
HSBC HDPI
Kolkata
12.2016 - 03.2022
- Subject Matter Expertise in new on-boarding, periodic review and event driven CDD & EDD customers having global footprints in APEC, EMEA (Ex. - Luxembourg, UK, etc.), MENA (Ex. – UAE) and AMERICAS (Ex. - USA, Canada etc.).
- Subject Matter Expertise in End to End KYC Reviews for Individuals, Partnerships, Corporate, Financial Institutions, Trusts, SPV, PLCs, LLCs, Funds, Government Entities, Free Zone Entities and Companies with complex ownership structures.
- Ensuring that all existing and newly on-boarded customers are compliant with adherence to the FATF Anti Money Laundering policies, OFAC Sanction exposure policies, FACTA policies and Bank Secrecy Act norms.
- Collaborating with client facing teams & onshore stakeholders to collect required legal documents and associated information to meet all regulatory and internal policies. Risk identification and assessment, mitigation and management and monitoring.
- Conducting Sanction screening, PEP screening and Negative News screening by utilizing global screening tools such as World Check, RDC, D&B, Orbis and Lexis Nexis Bridger and ensure risk management as per the risk threshold of the organisation.
- Conducting Transaction monitoring, Comprehensive Investigations and Account activity analysis across existing customer transactions database and resolving complex case investigations, alerts clearing and Suspicious Activity Report filing. Preparing alert narratives in FCRM requests to compile evidence regarding potential illicit activity
Education
MBA - Finance
ICFAI University (ICFAI Business School)
Kolkata11-2022
B.Com (Hons.) - Accounts Honors
Calcutta University (College: City College)
Kolkata07-2013
ISC (Class 12) - Accounts, Mathematics, Statistics, Economics
CISCE Board (Schooling: ST Thomas High School)
Howrah04-2010
ICSE (Class 10) - Mathematics, English, Physical Science, Life Science, Physics
CISCE Board (Schooling: ST Thomas High)
Howrah04-2008
Skills
- Enhanced due diligence, customer due diligence
- Sanction screening
- Stakeholder engagement
- Transaction monitoring
- Pep screening
- People management
- Regulatory compliance
- Mis management
- Scrum framework
- Financial crime compliance
- Employee training
- Team leadership
Certification
- Certified Scrum Master (CSM®)
- Certified Anti-Money Laundering Specialist (CAMS)
- Certified trade-based anti-money laundering investigator
- Certified Lean Six Sigma Black Belt
- Certified Anti-Money Laundering Investigator (CAMI)
- Certified Anti-Money Laundering Manager (NISM)
Accomplishments
- Recognized with the award of 'Leader Extraordinaire' by EY for successfully managing the fin-crime team in meeting production as well as quality
- Recognized with the award of 'Captain Extraordinaire' by EY for successfully training and preparing new on-joiners as per the policies and procedures of the organization
- Recognized with the award of 'Achiever Extraordinaire' by EY for additional contributions to the team production, alongside managing the team
- Recognized with the award of 'Special Achiever' by TCS in consecutive years 2022 and 2023 for valuable contributions toward process streamlining and stakeholder satisfaction
Timeline
Financial Crime Compliance Team Lead – KYC Operations
EY (GDS)
08.2024 - Current
Business Process Lead - CDD Operations
T C S
05.2022 - 08.2024
Senior KYC Operations Analyst
HSBC HDPI
12.2016 - 03.2022
MBA - Finance
ICFAI University (ICFAI Business School)
B.Com (Hons.) - Accounts Honors
Calcutta University (College: City College)
ISC (Class 12) - Accounts, Mathematics, Statistics, Economics
CISCE Board (Schooling: ST Thomas High School)
ICSE (Class 10) - Mathematics, English, Physical Science, Life Science, Physics
CISCE Board (Schooling: ST Thomas High)
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