Suneel Mishra
AML/KYC Associate
Pune
Summary
A value driven and highly accomplished professional with 6 years of working experience in Investment Banking and Financial Services expertise in AML, KYC, Sanction Screening, Regular Reviews, Regulatory compliance and well versed with Fenergo system Area of Exposure include: -AML, KYC and CIP norms, PEP, CDD, Transaction Monitoring, Screening, Periodic Review, OFAC, Regulatory Compliance, USA Patriot Act and Sanction Policies. Expert in conducting research and hand-on experience on almost all the major registries and regulators around the globe. An effective communicator with excellent relationship building and negotiation skills. Knowledge and experience with Global Markets regulations such as Dodd Frank, HKMA and EMIR. Strong analytical skills and experience working with large data sets in Excel. Strong communication skills, both written and verbal. Ability to work independently and assess relative priority among competing issues
Overview
8
8
years of professional experience
Work History
Assistant Manager
Deloitte Touche Tohmatsu India LLP, Deloitte
Pune
09.2022 - Current
- Forensic and Dispute services -helping clients predict, detect, and respond to the risks and vulnerabilities that come from global corruption, litigation, fraud, financial mismanagement, and other threats by performing required CDD or EDD, transaction monitoring and Screening
- Analyzing allegations of corporate fraud or financial mismanagement; Addressing whistle-blower allegations; Responding to government regulator requests; and Preventing or detecting problems before solutions to clients, along the entire lifecycle, from proactive consulting to investigations to remediation
- Monitor and analyze financial transactions using automated and manual systems to identify suspicious activity
- Investigate flagged transactions and prepare reports detailing findings
- Conduct research to identify and understand emerging AML risks and trends
- Regulatory queries and reaching out to Legal & Compliance /Regulator to get clarity
- Skill used: Transaction Analysis, Transaction Monitoring, Regular review/ KYC, Fraud Investigation, Email review, Large data analysis
Senior Analyst
Eclerx Services Limited
Pune
03.2017 - 04.2020
- KYC Periodic Review
- Performing end-to-end KYC periodic review on ASIA, EMEA, ANZ and American client for low, medium and high risk clients
- Identify risk category of client and match all KYC regulatory requirement for periodic review
- Ensures that EDD compliance files are maintained, thoroughly documented, and AML risks are responded to in a timely manner
- Deriving initial and final risk for clients i.e
- Low/ Medium/ High
- Collecting ALM/ Non-AML documents for clients
- Full fill all regulatory requirement on the basis of jurisdiction for clients on the basis of CIP requirement
- KYC Screening
- Discounting alerts raise through automated monthly/ daily sanction screenings
- Knowledge of financial crime/ anti-bribery & corruption guidelines
- Carry out monthly/ daily sanction and negative media screenings
- Investigating high risk clients and reporting where necessary, including POLITICALLY exposed persons
- And obtaining all necessary documentation to complete the client file.
EE Employee
UBS Business Solution (India) PVT. Limited
Hyderabad
02.2021 - 09.2022
- KYC Periodic Review
- Performing KYC on Public Listed Companies, Financial Institutions, Private companies, Public Authority, Central Banks, Funds and Partnerships
- Performed additional tasks as assigned, improving the effective administration of the AML and KYC Policies
- Ensuring AML & KYC regulations, policies and procedures are fully implemented which are in lines with Global Standards
- Closely liaise with the FCC Team to get speedy resolution of Regulatory or Compliance related queries
- Collecting and validating information provided by various client and updating information in Fenergo Client Off Boarding (Closure)
- Off Board Client (Partial/ Full Closure) On the Basis of Business Confirmation, Registry Closure Confirmation
- Raising new request for client off boarding
- Gather all required approval by communicating stockholders
- Reactivating client on the basis of business appeal/ PKR completion
- Perform Pre-Checks in Payment System and Take Confirmation for Balance/ Credit Write-Off
- Skill Used: Regular review, Off boarding, Sanction Screening, PEP Screening
Senior Associate
Tech Mahindra Limited
Pune
05.2020 - 02.2021
- KYC Remediation
- Identify category of client-SDD/ Non SDD and Perform Client Due Diligence/ Enhanced DD
- Perform IDD on Global client and Aggregate in Application
- Ensuring the completeness, accuracy, and timeliness of transaction reporting submissions across multiple regulatory regimes (e.g
- Dodd frank, EMIR, MIFID, etc.)
- Engagement in designing, implementing, and maintaining operation process
- Generate daily reports and analyze patterns to derive meaningful information
- KYC Periodic Review
- Performing periodic review for low & medium clients for US and EMEA region
- Conduct the adverse media screening on the Client, UBO and related parties using tools such as World Check & Factiva
- Identifying UBO, Controllers and Connected parties of the entity and drawing Ownership structure
- Skill Used: Remediation, KYC- Regular review, Screening-Adverse media and PEP Screening
Education
Master of Computer application (MCA) - Master of Computer Application
Oriental Institute of Science & Technology, Rajiv Gandhi Technical University
Bhopal, M.P. 1 2014 - 1 2017
Bachelor of Commerce (B.com) - Bachelor of Commerce
Bhopal School of Social Sciences, Barkatullah University
Bhopal, M.P. 1 2011 - 1 2014
Skills
Fenergoundefined
Timeline
Assistant Manager
Deloitte Touche Tohmatsu India LLP, Deloitte
09.2022 - Current
EE Employee
UBS Business Solution (India) PVT. Limited
02.2021 - 09.2022
Senior Associate
Tech Mahindra Limited
05.2020 - 02.2021
Senior Analyst
Eclerx Services Limited
03.2017 - 04.2020
Master of Computer application (MCA) - Master of Computer Application
Oriental Institute of Science & Technology, Rajiv Gandhi Technical University
1 2014 - 1 2017
Bachelor of Commerce (B.com) - Bachelor of Commerce
Bhopal School of Social Sciences, Barkatullah University
1 2011 - 1 2014
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Accomplishments
- Supervised team of 6 staff members.
Languages
English
Bilingual or Proficient (C2)
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