Summary
Overview
Work History
Education
Skills
Others
Personal Information
Disclaimer
Timeline
Generic
Sunil

Sunil

KYC Analyst
Bangalore

Summary

Organized and dependable candidate successful at managing multiple priorities with a positive attitude and ability to handle multiple projects simultaneously with a high degree of accuracy. Willingness to take on additional responsibilities to meet team goals. To seek and maintain full-time position that offers professional challenges utilizing interpersonal skills, excellent time management and problem-solving skills. Detail-oriented team player with strong organizational skills.

Overview

8
8
years of professional experience
8
8
years of post-secondary education
1
1
Language

Work History

Senior Analyst

JP Morgan Chase & Company
12.2021 - Current
  • Creation, maintenance and updates for Legal Entities, branches and Sub-accounts and Creation of client UIN in systems before verification and onboarding client
  • Serves as primary point of contact for Front/Middle Office client representatives
  • Act as KYC and AML subject matter resource for KYC due diligence teams
  • Preparing KYC Due Diligence profiles on wide range of entity types (NBFIs, Funds, Banks, SPVs, Trust/Foundations and Corporates)
  • Conducting Customer Identification Process to verify legal existence of the client
  • Client On-boarding Specialists are expected to stay current with all regulatory changes and requirements around client KYC, Suitability and Documentation
  • Coordinate with Front Office, Credit, TAX, AML Compliance and global Client On-boarding Teams to understand client/deal structure and agree requirements/responsibilities
  • As Specialist/SME will own the end-to-end client on-boarding of KYC records to ensure regulatory standards (global/applicable for local regulations) with high quality and while meeting tight deadlines
  • Analyzed new/prospective clients including Enhanced Due Diligence synthesized finding and assessed risk levels
  • Collection and verification of confidential client data via publicly available and internal sources
  • Compare and contrast differences within KYC records, highlight and escalate any discrepancies
  • Trained various new joiners on entire KYC workflow process
  • Engage with Quality Control (QC) to close the feedback loop on quality checked records and make corrections to KYC record
  • Strive for high quality in completing KYC records
  • Drive Process improvements and implement process changes as necessary
  • Ensured team members adhered to compliance procedures and there were no audit breaches within the team.

Senior Analyst

ANZ - Quess Corp
08.2020 - 12.2021
  • Prime objective was to actively be involved in KYC team to ensure APRA regulations are met by the team ensuring compliance and policies are being met and are in place
  • The department I dealt with focused on OTC products, the understanding of them widened my perspective of commercial banking and how these are not really quite noticed and understood in our day-to-day activities or retail banking sector
  • These was more to do with understanding trades, markets and financial strategies when Onboarding or off boarding a customer
  • Scope of work also involved creating and furnishing trading/OTC accounts, creation of KYC profile, understanding the linking of the Investment advisors to the fund / entities, running PEP check with the internal tools as well as third party tools like World Check and contacting the customer for further documentation wherever required
  • Continuous liaising with relationship manager, traders and on boarders to understand the status of the entities or to get more information was one of the to-do things to ensure no impact to the customer thereby creating better customer experience.

Senior Analyst

Willis Tower Watson - QUESS Corp
03.2020 - 06.2021
  • Screening for an individual as well as organization thorough RDC application
  • Collect the additional information of searched individual and the verified individual to check whether both are same and Maintaining evidence of client verification reports
  • Client On boarding checks, verifying external regulatory and registry websites for their legal active status
  • Conducting extensive searches on internet and collating additional information for and organization and individual being verified.

Senior Analyst (SME)

TATA CONSULTANCY SERVICES
10.2015 - 07.2019
  • Reviewing the Counterparty ISDA Questionnaire submission in Markit website as well reviewing ISDA Adherence Letter submission through ISDA website
  • Reviewing client classification for each regulation (EMIR, SFA, SFC and FINRA) and providing the information to stakeholders
  • Detailed understanding of data vendors feeds - dbClient, dbCAR, CCE, Markit, AVOX, GLEIF, Sales Portal & GMEI
  • In case of any breach transactions, we were involved in reaching out to clients seeking for the outstanding documents in order to remediate accounts as compliant to the regulation
  • Analyzing documents received from the client to on board the account
  • The on-shore business assists us in providing the trade report which disseminates the trade & the client details that have been initiated during a tenure, i.e., the trades which have happened post the DF Regulation Act of 2012; shall be compliant to the same by adhering to submission of the documentations (Protocol 1, Protocol 2, ISDA Master Agreement, CBRL, etc.)
  • Outreaching directly to Critical clients to make them understand the regulatory act and ensuring the end client trade safely by proper documentation and following up with the client to make sure they adhere themselves to the Act via email or calls
  • Preparing management reports like deck report, error trend analysis and presenting the same with the client
  • Preparing MIS, PPT, EOD from team and Group inbox management
  • Ensure to provide constructive feedback to a processor who committed an error and also performed the RCA (Root Cause Analysis) for the same.

Education

BBM - FINANCE AND MANAGEMENT -

MANGALORE UNIVERSITY, ALVA'S College
Moodbidri
06.2011 - 04.2014

Pre-University Course (Commerce) -

KARNATAKA PU EDUCATION BOARD, ALVA'S College
Moodbidri
06.2009 - 04.2011

SSLC -

KSEEB, JAIN HIGH SCHOOL
Moodbidri
05.2006 - 03.2009

Skills

DIPLOMA IN COMPUTER APPLICATIONS - DCA: Tally ERP, MS Excel, MS PowerPoint, MS ACCESS Manipal Institute of Computer Education - MANIPALundefined

Others

Proven ability to communicate ideas, problem solving meet tight deadlines and prioritize workload., Received appreciations from various clients and business heads for the queries for priority clients. Awarded with Star Performer certificates for 2016, 2018 and 2019 from TCS for the project.

Personal Information

Date of Birth: 05/30/94

Disclaimer

I hereby declare that the above-mentioned information is correct up to the best of my knowledge.

Timeline

Senior Analyst

JP Morgan Chase & Company
12.2021 - Current

Senior Analyst

ANZ - Quess Corp
08.2020 - 12.2021

Senior Analyst

Willis Tower Watson - QUESS Corp
03.2020 - 06.2021

Senior Analyst (SME)

TATA CONSULTANCY SERVICES
10.2015 - 07.2019

BBM - FINANCE AND MANAGEMENT -

MANGALORE UNIVERSITY, ALVA'S College
06.2011 - 04.2014

Pre-University Course (Commerce) -

KARNATAKA PU EDUCATION BOARD, ALVA'S College
06.2009 - 04.2011

SSLC -

KSEEB, JAIN HIGH SCHOOL
05.2006 - 03.2009

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