Sujay Singh Rajput
Summary
Accomplished KYC Analyst with 3 years of experience at UBS AG, specializing in financial crime analysis and regulatory compliance.
Overview
3
3
years of professional experience
Work History
Client Onboarding Specialist /Subject Matter Expert
UBS AG
07.2021 - Current
- Providing SME support across AMER, APAC, and EMEA regions
- Spearheading an 8-person team in the Lead's absence for over a year
- Administering collection and verification of institutional clients' due diligence for KYC periodic reviews
- Conducting client screenings for various due diligence levels (CIP, SDD, BDD, EDD)
- Completing end-to-end KYC reviews for diverse clients, including financial institutions, SPVs, PICs, SPACs, SOEs, partnerships, trusts & foundations
- Ensuring compliance with SEC, FCA, ASIC, BaFin, and other regulatory bodies, mitigating legal and reputational risks
- Evaluating sanctions, sensitive industries, and background screenings for clients and related parties
- Maintaining accurate KYC documentation & reporting findings as necessary
- Working closely with cross-functional teams in compliance and operations to tackle intricate AML/KYC issues, conducting regular calls with internal teams, including Approvers/Financial Crime Specialists, Relationship Manager, and Onshore Teams
- Responding to regulatory audits, demonstrating adherence to compliance standards.
- Analyzing potential financial crimes and money laundering activities for clients & related parties (Shareholders, Senior Management).
- Evaluating the risk associated with on-boarding new clients and escalating any potential concerns to the appropriate teams.
- Utilizing onboarding systems and technology to streamline processes and maintain accurate records.
- Implementing quality control measures to ensure accuracy and completeness in client on-boarding documentation.
Education
MBA - Finance
Lovely Professional University
Jalandhar, India01.2022
Bachelor of Technology - Computer Science
Lovely Professional University
01.2020
Skills
- AML/KYC Compliance
- Client Onboarding & Servicing
- Due Diligence
- Quality Assurance & Control
- Service Delivery Management
- SLA Management
- Regulatory Compliance
- Financial Crime Prevention
- Statutory Audit
- Risk Analysis
- Stakeholder Management
- Cross-functional Coordination
- Professionalism and Ethics
- Wolfsberg Group Knowledge
- Risk Assessment
- Due Diligence
- Documentation & Reporting
- Investigation & Analysis
- Training & Compliance Programs
- KYC Compliance
Designation
Client Onboarding Specialist / Financial Crime Analyst
Languages
English
Advanced (C1)
Hindi
Advanced (C1)
Tools
- Reporting Tools
- MS Office (Excel, Word & PowerPoint)
- D&B Portal
- Banker Almanac
- Lexis Nexis
- Bloomberg Portal
- ASIC Portal
- ACRA Portal
- GRID / RDC
- NMS / AMS ( IDD & ODD)
- Background Screening Tools
Rewards and recognition
- Recognized as the Team Leading Expert in the Subject Matter.
- Repeatedly awarded Star of the Week for consistently delivering exceptional output and surpassing performance targets.
- Achieved Star of the Month recognition consistently by meeting and exceeding monthly targets.
- Acknowledged for training and mentoring team members on KYC/AML procedures and regulations for a third-party vendor (Cognizant).
Preferable location
Hyderabad/ Pune/ Bengaluru/ Mumbai
Personal Information
Date of Birth: 09/19/97
Timeline
Client Onboarding Specialist /Subject Matter Expert
UBS AG
07.2021 - Current
MBA - Finance
Lovely Professional University
Bachelor of Technology - Computer Science
Lovely Professional University
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