Soumya Kumar
Bengaluru
Summary
Dynamic Senior Quality Checker at HSBC with expertise in customer due diligence and policy development. Proven track record in risk assessment and quality management, enhancing compliance processes. Adept at team collaboration and effective communication, driving strategic improvements in AML and KYC compliance across diverse markets.
Overview
6
6
years of professional experience
1
1
Certification
Work History
SENIOR QUALITY CHECKER
HSBC
Bengaluru
01.2023 - Current
- Assessed and validated the quality of customer due diligence processes to uphold organisational standards and mitigate risks.
- Customer Due Diligence (CDD): Performing enhanced due diligence on Low, Medium, High and SCC risk customers of Entities (Public listed companies, Partnership, Trust, Funds, Gratitude provident Fund, Foundation, ESG) and transactions to mitigate financial crime risks in different markets (India GBM , CMB in UK , Malaysia, Bangladesh) in NTB and ETB Reviews.
- Regulatory Compliance: Staying up-to-date with relevant laws, regulations, and industry best practices to ensure compliance with AML (Anti-Money Laundering) and KYC regulations.
- Policy Development: Assisting in the development and implementation of KYC policies, procedures, and controls within the organization.
- Investigation and Analysis: Investigating and analyzing customer profiles, transactions, and alerts for potential suspicious activities or red flags.
- Conducted thorough reviews of KYC documentation to verify compliance with AML regulations and internal policies.
- Prepared detailed reports on KYC compliance findings and presented recommendations to senior management for strategic decision-making.
- Performed DV checks end to end of UK and Malaysia markets.
AML Quality Checker
Artech Infosystem (Infosys)
Pune
08.2021 - 01.2022
- Collaborated with cross-functional teams to improve compliance processes and align AML policies with regulatory requirements.
- Conducted thorough quality assessments of AML cases, identifying discrepancies and recommending corrective actions.
- Analysed trends in AML data, identifying areas for improvement and facilitating strategic discussions with management.
- Developed and implemented quality control measures to enhance the accuracy of AML investigations and reporting.
- Provided training and mentorship to junior staff on AML compliance procedures and quality assurance best practices.
KYC ANALYST
IBM
Bengaluru
02.2020 - 07.2021
- Investigating and assessing the financial risks posed by a company's operations and monitoring/regulating high-risk activities.
- Communicating with regulators and auditors regularly to explain their risk monitoring, control, and prioritization techniques.
- Reporting information that illustrate organization's overall performance in terms of risk mitigation.
- Examining data and solutions to verify that, all AML regulations are met.
- Collaborated with cross-functional teams to enhance KYC processes and ensure compliance with regulatory standards across various jurisdictions.
Financial Analyst
eClerx Financial Services
Pune
02.2020 - 07.2021
- Perform financial forecasting, reporting, and operational metrics tracking.
- Analyze financial data and create financial models for decision support.
- Report on financial performance and prepare for regular leadership reviews.
- Analyze past results, perform variance analysis, identify trends, and make recommendations for improvements.
- Work closely with the accounting team to ensure accurate financial reporting.
Education
MBA -
Gyan Ganga Institute
Jabalpur, Madhya Pradesh01.2023
BCOM -
Matagujri, DAVV
Jabalpur, Madhya Pradesh01.2020
Skills
- Customer due diligence
- Policy development
- Risk assessment
- People and Team Management
- Effective communication
- Team collaboration
- Calibration procedures
- Quality management systems
- Quality control plans
- Lean six sigma
- Six sigma methodologies
- Teamwork and collaboration
- Goal setting
- Time management
- Active listening
- Quality assurance
Certification
Green belt Lean Six Sigma
Timeline
SENIOR QUALITY CHECKER
HSBC
01.2023 - Current
AML Quality Checker
Artech Infosystem (Infosys)
08.2021 - 01.2022
KYC ANALYST
IBM
02.2020 - 07.2021
Financial Analyst
eClerx Financial Services
02.2020 - 07.2021
MBA -
Gyan Ganga Institute
BCOM -
Matagujri, DAVV