Surendra Babu M.L
Bengaluru
Summary
- Over 11 years of expertise in Banking and Financial Crimes, specializing in Transaction Monitoring and AML/KYC processes.
- Proven success in Client Onboarding, CDD, and periodic reviews, consistently exceeding performance targets. Skilled in data analysis and risk assessment, emphasizing compliance and relationship management.
- Recognized for leadership in overseeing high-volume transactions and ensuring meticulous record-keeping.
Overview
13
13
years of professional experience
Work History
Business Execution Associate
Wells Fargo
Bengaluru
2019.05 - Current
- Conducted periodic reviews of clients onboarded to assess high/low risk status
- Updated and verified records of previously onboarded clients based on section types
- Validated customer information and required documents according to client's section type
- Ensured compliance with necessary guidelines for both US and OUS client validation
- Adhered to AML/KYC guidelines while meeting deadlines for volume completion
- Fostered strong relationships with key stakeholders to enhance interdepartmental communication
- Performed quality control for team members and supported onboarding of new staff
- Executed root cause analysis on compliance failures to improve processes
Transaction Specialist
Empower Pvt Ltd.
Bengaluru
2016.10 - 2019.05
- Processed high-volume transactions, maintaining 99% accuracy and preventing fraud
- Ensured accurate record-keeping and control reporting for cash inflow operations
- Verified statutory obligations and reported suspicious activities in client transactions
- Conducted due diligence investigations using screening tools and data aggregation techniques
- Analyzed transaction data to identify trends and ensure regulatory compliance
- Established team processes for timely resolution of alerted transactions
- Responded to BSA/AML/OFAC program information requests within defined guidelines
- Collaborated with cross-functional teams to achieve 35% faster resolution of high-priority cases
Sr. Process Administrator
Visionet Systems Pvt Ltd.
Bengaluru
2013.01 - 2016.08
- Identified and mitigated 150 potential risks for high-risk clients through due diligence over two years
- Streamlined KYC process by integrating automated tools, reducing review times by 20%
- Onboarded clients and verified documentation to ensure compliance with regulations
- Conducted periodic assessments of existing clients to evaluate service utilization
- Executed comprehensive file reviews for holistic product assessment across all offerings
- Developed process workflows in alignment with organizational compliance standards
- Coordinated with Front, Middle, and Back Office teams to gather client onboarding information
Education
Bachelor of Commerce - B.com
Bengaluru, KASkills
- Periodic reviews and assessments
- Client onboarding
- Data analysis
- Risk assessment
- World-Check and LexisNexis
- Excel and SharePoint proficiency
- Quality assurance tools
- Time management
- Leadership skills
Timeline
Business Execution Associate
Wells Fargo
2019.05 - Current
Transaction Specialist
Empower Pvt Ltd.
2016.10 - 2019.05
Sr. Process Administrator
Visionet Systems Pvt Ltd.
2013.01 - 2016.08