Sudipta Basu
Shyamnagar
Summary
7+ years of working experience in the financial sector. Worked as a banking professionals with a strong background in managing global AML and KYC operations for UK & US corporate clients. Demonstrated track record of successfully implementing robust compliance frameworks, leading cross-functional team, and driving process improvements. Deep understanding of KYC, Global AML regulations, Customer Due Diligence(CDD), Transaction Monitoring and Suspicious activity reporting. Expertise in CDD, EDD, PEP, FATCA. Proven track record in AML in UK Gambling sector.
Overview
7
7
years of professional experience
Work History
AML Analyst
Inceptial Technologies UK Limited
12.2023 - Current
- Working For UK client "The Grace Media" as AML Analyst.
- Serve as an escalation point for AML related inquiries and perform investigations.
- Assist in the investigation and reporting of Suspicious Transaction Reports STR , as well as ongoing monitoring and compiling of due diligence documents.
- Review and maintain AML/CTF Policies and Procedures.
- Review and record suspicion submissions and escalate to appropriate agency/regulator
- Reviewing financial documents to assess SOW and SOF of the customers.
- Performing PEP, Sanction as well as Adverse Media checks and analyzing the results to eliminate or confirm matches. Communicating professionally and confidently with stakeholders including colleagues, account managers, Risk team and customer relations as part of the EDD process.
- Partnered with fraud manager to research and investigate cases.
- Interacted with law enforcement agencies, regulators and financial institutions to coordinate investigations related to fraudulent activities.
- Investigated fraud referrals and performed research to minimize risk and resolve inquiries.
- Preparing EDD report, Checking all the KYC docs as per the UK Gambling regulatory.
- Preparing AML and Player Protection management information (MI) from different sources (e.g, KPIs,GBG Report, Internal workflows), for reporting to the senior management team.
Senior Analyst
Barclays
05.2022 - 06.2023
- Worked as a Senior Analyst (BA3) for UK based banking clients which includes KYC, AML, CDD, EDD, Transaction Monitoring etc.
- Review data from media reports and appropriate websites to identify customers involved in crime, ML, terrorism etc.
- Review authenticity of the transaction within each alert i.e. check the principal activities of the customer to ensuring transaction patterns or activities are not unusual, and if found unusual, e.g. Transaction is out of line with the client's normal business activity, then enquire into the same using RFI(Request for Information) process.
- Performed KYC and Sanctions reviews, ensuring activities are reviewed in a holistic manner across the financial products availed by the customer.
- Ensured CDD is properly performed by the LOB's and EDD is applied in case of high-risk customers to mitigate ML/TF risks.
- Compile evidence and documentation in compliance with regulatory requirements.
- Demonstrated ways to improve customer service and increase productivity.
- Supported the new team members by mentoring them in their learning curve.
Senior Process Executive
Cognizant Technology Solutions
06.2017 - 05.2022
- Worked for US-Based banking clients which includes KYC reviewing, AML, Transaction Monitoring, Document verification, Validation etc.
- Performed as a QA for the process which includes daily quality checking of KYC documents, Transaction, ML etc.
- Investigate the alerts generated by TM systems and ensure the unusual activities are reviewed and closed or escalated appropriately in accordance with regulatory requirements where appropriate.
- Processing the ownership holdings of securities in database.
- Handling different risk level of customers.( high, medium, low)
- Worked on OFAC sanctions, PEP, Adverse media screenings, CDD, EDD etc.
- Identified and resolved operational issues impacting productivity, performance or profitability.
Education
Bachelor's degree -
West Bengal State University
Kolkata, India04.2016
High School Diploma - Science
Gurdaha Rishi Aurobinda Vidyaniketan
Shyamnagar05.2012
Skills
- Fraud Detection
- Quality Control
- KYC Verification
- AML Regulations
- Due Diligence
- Banking Operations
- Transaction Monitoring
- Troubleshooting
- Documenting activities
- Fluent in Verbal and Written Communication
- MS Outlook, MS Excel
- Multi-Lingual
- Problem Solving and Decision Making
- Ability to work in Challenging environments and learn adverse situations
- Meticulous and quick learner,
Languages
English
Fluent
Bengali
Fluent
Hindi
Fluent
Timeline
AML Analyst
Inceptial Technologies UK Limited
12.2023 - Current
Senior Analyst
Barclays
05.2022 - 06.2023
Senior Process Executive
Cognizant Technology Solutions
06.2017 - 05.2022
Bachelor's degree -
West Bengal State University
High School Diploma - Science
Gurdaha Rishi Aurobinda Vidyaniketan
Similar Profiles
Marthish ShivaramaiahMarthish Shivaramaiah
BSS Solutions Architect at Connect44 UK Ltd (at HUAWEI Technologies UK)BSS Solutions Architect at Connect44 UK Ltd (at HUAWEI Technologies UK)
Hanson SoHanson So
Solutions Planning and Business Development at Canon (UK) Limited - Solutions Planning / UK & IrelandSolutions Planning and Business Development at Canon (UK) Limited - Solutions Planning / UK & Ireland
Yuemeng ZhangYuemeng Zhang
Procurement Assistant at Huawei Technologies UKProcurement Assistant at Huawei Technologies UK