Summary
Overview
Work History
Education
Skills
Certification
Accomplishments
Timeline
Generic
Suman Bhattacharjee

Suman Bhattacharjee

Chennai

Summary

Seeking a position to utilize my logical and applications skills in a reputed Institution and make a substantial contribution to the Society, have 14 years of experience in various investigation/Research analyst positions skilled areas on compliance and corporate security with focus on fraud prevention halting financial crimes and terrorist financing has experience in Kyc and have experience in Us partriot act and BSA Standards have experience in Extensive Due diligence investigations using public and private data bases Accomplishments : Anti money laundering Program for global general services Energetic and reliable Office Manager skilled at working with diverse groups of people. Strong track record of motivating teams to achieve project goals. Expert at administrative processes and office procedures.

Overview

14
14
years of professional experience
1
1
Certification

Work History

Compliance Manager

Yalamanchili - Payments and Cards
Chennai
01.2024 - Current
  • Assist in the Development of the Yalamanchili Group Anti Money Laundering and Sanctions Program
  • Collaborate with relevant stakeholders to contribute to the enhancement and implementation of the anti-money laundering (AML) and sanctions program
  • Participate in the formulation of strategies and frameworks to ensure compliance with regulatory requirements and industry best practices
  • Regulatory Obligations Mapping
  • Analyze and map regulatory obligations specific to PPI issuers.
  • Evaluate existing processes and control mechanisms to align them with regulatory
  • Policy and Procedure Development
  • Identify and implement mitigating controls to address compliance gaps effectively
  • Support the development of new policies and procedures pertaining to AML and sanctions compliance
  • Assist in the creation of guidelines for client and customer risk assessment, acceptance, and onboarding processes.
  • Evaluate the effectiveness of process control
  • designs as part of the second line of defense.
  • Conduct testing and assessment activities to ensure adherence to established AML and sanctions protocols.
  • Gap Identification and Remediation:
  • Identify gaps in existing processes and controls related to AML and sanctions compliance
  • Propose and design remediation measures to address identified deficiencies.
  • Key Performance Indicator (KPI) and Key Risk Indicator (KRI) Establishment
  • Define and establish program KPIs and KRIs, along with associated metrics and thresholds.
  • Monitor and analyze relevant data to track program performance against established indicators
  • Assist in the preparation of reports detailing the performance of the AML and sanctions program.
  • Provide insights and recommendations based on performance metrics and analysis
  • Monitor and track action plans related to program development and compliance initiatives
  • Ensure timely execution of action items to address identified areas for improvement.
  • AML and Sanctions Training Support
  • Contribute to the development of comprehensive AML and sanctions training programs.
  • Assist in delivering training sessions and materials to relevant stakeholders across the organization.
  • AML & Sanctions Operations Unit Establishment
  • Support the establishment and operationalisation of the AML Operations Unit in Vizag, ensuring alignment with organizational goals and objectives.

Assistant Manager

Wipro Limited
Chennai
01.2021 - 09.2023
  • Performing Quality check for CIP remediation process and Local Requirement for different regions
  • Being an SME and support trainer, handling client and QC calls, assisting team by taking huddles to clear their doubts/process updates and being part of process improvement programme
  • Conduct weekly team meetings to encourage staff to share ideas, give feedback, request training and help identify areas where process can be improved and made more efficient
  • Handling process related queries efficiently and, if need to be communicated to onshore partner to resolve the queries
  • Manage team workload distribution and structure to ensure consistent good performance
  • Taking care of QC Error Analysis report, daily MIS, EOD Reports, Individual performance and Team performance
  • Helped less experienced staff manage daily assignments
  • Trained and helped less experienced staff manage workloads and assignments, facilitating fulfillment of organizational objectives
  • Employed outstanding communication and relationship-building abilities to lead by example in providing first-class customer care
  • Handled escalated store policy violations, implementing security improvements to prevent shrinkage and misconduct
  • Protected and enhanced company reputation, promoting mission and values in all professional interactions
  • Scheduled weekly projects, anticipating timelines for milestones and completion dates
  • Oversaw third-party contracts and service level agreements for facilities maintenance, security and waste management
  • Helped senior management plan and carry out daily operations and meet key objectives
  • Implemented staffing strategies to secure qualified personnel to meet business demands
  • Developed long-term training strategies for new and existing employees across multiple departments
  • Implemented strict quality standards for consistent company representation across multiple channels.

Team Lead

WNS Global
Chennai
01.2020 - 01.2021
  • Responsible for identifying and researching the patterns, trends and anomalies in complex transactional and customer data to detect, prevent, mitigate and report suspicious activity related to money laundering, terrorist financing and structuring.
  • Identified and investigated suspicious customer transactions
  • Verifying Detection Scenario, Alert review, Case review(RFI) , Articulation, Clear & Closer the Alert /Case according the investigation by the help of Public domain, Acuity, World check, Watch list
  • Used transactional and customer records, external data, publicly available information, and other information to identify suspicious or unusual activity
  • Performed Enhanced Due Diligence on customers deemed high risk, and suggested account restrictions and/or account closures based on risk to the institution
  • Participated in and provided technical support
  • for projects and initiatives with moderate to high risk
  • Analyzed reports for discrepancies and suspicious activities · Followed standard AML procedures and processes

Individual Contributor

Franklin Templeton Investments
01.2017 - 12.2019
  • Working in Global Risk and control team
  • Supporting all internal Audits and external Audits taking Place
  • Working as a compliance officer and sorting out all the risk related to the institution
  • Providing Remediation Regarding all the activates taken place Related to AML
  • Worked on different policy and Procedure Development and filling the Gaps Before the Audit
  • Understanding the Basic Requirements of Operations and acting as a bridge between them to deliver it to development Teams
  • Have worked on Data research for Procurement of new Products
  • Following the SAR Reports and reporting it to compliance team
  • As an individual contributor have worked on different projects such as Map and control testing.

Subject Matter Expert

Standard Chartered Bank
01.2014 - 11.2016
  • Worked in Fcsu Team for AML Transaction Monitoring
  • Worked as SME for Standard Chartered with more than 4 years of work experience and having good knowledge in concepts of KYC/AML/CDD (UK process).
  • Workflow: Norkom: Application: Bridger, LexisNexis, Experian, World check
  • Responsibilities: My job responsibilities included /Screening, all types of post transactions
  • Responsible for doing the thorough back ground verification for the Customers transaction history and their source of funds and their nature of business
  • Doing end to end back ground verification of the Customer and preferably ask the reason for the transaction done if necessary
  • Cross verifying the data provided by the customer with public records in order to make sure that the Customer is genuine and is eligible to have relationship with the Financial • Institution
  • Responsible for identifying and researching the patterns, trends and anomalies in complex transactional and customer data to detect, prevent, mitigate and report suspicious activity related to money laundering, terrorist financing and structuring
  • Conducting CDD on Small Medium Entities (SME) to have the relationship with the Bank
  • Obtaining and verifying application forms, internal documents, supporting documents from individual (ID & Address proof), FATCA forms, PEP forms & PISE (Based on customer)
  • Capturing all details into the internal system for audit purpose and for the purpose of periodic review process on the following year

Senior Associate

TATA Consultancy Service Ltd
07.2010 - 01.2014
  • For TCS e-Serve with more than 4 years of work experience in having good knowledge in concepts of KYC/AML/CDD
  • Responsibilities: Allocating daily jobs & workload
  • Train new team members
  • Acting as a resource for other staff members
  • Managing team performance and progress
  • Enforcing all company approved policies and procedures
  • Constantly looking for ways to improve processes
  • Monitoring the performance of junior staff
  • Completing team-related paperwork
  • Implementing new initiatives and making sure all staff understand them
  • Taking action to correct and staff shortcomings
  • Managing and monitoring staff attendance
  • Giving prompt and accurate information on individual staff member performance
  • Attending and participating in team meetings
  • Ensuring a clean, safe and friendly working environment
  • Reporting to senior managers.

Education

Higher Secondary -

Zion Matriculation Higher Secondary school

SSLC -

State Board of Tamil Nadu

BSC -

Madras University

Skills

  • Compliance
  • Fraud prevention
  • Financial crimes
  • Terrorist financing
  • KYC (Know Your Customer)
  • Due diligence investigations
  • Anti money laundering program
  • Recruitment and hiring
  • Regulatory requirements understanding
  • Competitor analysis
  • Communication skills
  • AML (Anti Money Laundering)
  • AMLKYC
  • Suspicious activity detection
  • Enhanced Due Diligence
  • Financial statements analysis
  • Currency transaction logs monitoring
  • Risk management
  • Internal audits
  • Policy and procedure development
  • Data research
  • SAR (Suspicious Activity Report) reporting
  • Map and control testing
  • Transaction monitoring
  • Screening
  • Background verification
  • Small & Medium Entities (SME) CDD
  • Dormant account reactivation
  • Signatory verification
  • Company incorporation analysis
  • Ultimate beneficial owners identification
  • Account opening process
  • Team management
  • Process improvement
  • Staff training
  • Performance management
  • Staff attendance monitoring
  • Employee scheduling
  • Complaint handling
  • Staff training implementation

Certification

ACAMS certified

Accomplishments

  • Implemented new, interactive employee scheduling system to monitor, gauge and project staffing needs.
  • Improved QC reviews by successfully handling Client’s complaints and implementing monthly staff training.

Timeline

Compliance Manager

Yalamanchili - Payments and Cards
01.2024 - Current

Assistant Manager

Wipro Limited
01.2021 - 09.2023

Team Lead

WNS Global
01.2020 - 01.2021

Individual Contributor

Franklin Templeton Investments
01.2017 - 12.2019

Subject Matter Expert

Standard Chartered Bank
01.2014 - 11.2016

Senior Associate

TATA Consultancy Service Ltd
07.2010 - 01.2014

Higher Secondary -

Zion Matriculation Higher Secondary school

SSLC -

State Board of Tamil Nadu

BSC -

Madras University

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Suman Bhattacharjee