Sowmya Suresh

Current roles and responsibilities:

• Conducting ECDD in accordance with the standard operating procedure and user guide.
• Prepare and review documents, and ensure ongoing due diligence and KYC measures are maintained while identifying substantive changes to the customer profile.
• Identified opportunities for process improvements
• Maintained accurate records of all data collected during analysis processes.
• Collaborated with cross-functional teams on projects such as TM GTG. SMR GTG, NTB, CIC.
• Delivering quality KYC profiles, in adherence to the bank's policies and procedures, within SLA.
• Undertaken ad-hoc tasks such as reporting on the team's case status, maintaining productivity data, and assigned by line management.
• Proactively took part in team huddles by sharing insights on the SOP and UG updates.

Roles and Responsibilities:

• Performed end-to-end KYC for various categories of clients, such as banks, non-bank financial institutions, corporations, etc.
• Preparing a business risk summary for the compliance team to escalate the various risks, such as regulatory fines, fraud, sanctions, tax evasion, corruption, and ML/TF factors.
• Identifying various kinds of risks associated with the client while reviewing the customer profile, such as the nature of business, entity structure, countries of exposure, product relation, PEP, sanctions, negative/ adverse news, and escalating the same.
• Updating the client on the development of the case status and escalating if any risk factor is identified.

Additional Responsibilities:

• Internally, I have handled the role of quality checker on the completed profiles.
• Discussing and resolving the complex profiles with stakeholders for quick completion of cases.
• Supported the team in completion group clients of different regions in accordance the bank policies and procedure

Roles and Responsibilities:

• Performed an end-to-end review of the client, from initial due diligence to profile completion, according to the global and local policies and procedures.
• Identifying and escalating any suspicious or unusual matters to AML and Business Compliance for further investigation.
• Performed due diligence for the location, such as the UK, US, and DE, in accordance with global and local policies and procedures.
• Ensuring that global and local procedures are met in accordance with the regulatory requirements.
• Experienced in researching clients' KYC information from various business sources, such as Dun and Bradstreet, Companies House, Bloomberg, and SEC filings.
• Has been trained in performing screening utilizing Lexis, Nexis, and World-Check.
• Escalated the Client associated with Sanctions, Money laundering, Tax evasion, Corruption, Drug trafficking to Global and Local compliance team.