Surendra Babu M.L
Bengaluru
Summary
• Having an overall experience with 11 plus years in Banking and Financial Services in Transaction Monitoring, AML & KYC , end to end performing client Onboarding, CDD, EDD Periodic Reviews
• Consistently met and exceeded goals/expectations, while also mentoring peers/ counterparts/ associates to improve client satisfaction Skilled in data analysis and risk assessment, excel in fostering relationships and ensuring compliance with AML/KYC guidelines. Recognized for leadership and efficiency in managing high-volume transactions and maintaining accurate records.
Overview
12
12
years of professional experience
Work History
Business Execution Associate
Wells Fargo
05.2019 - Current
- Performing Periodic review on clients onboarded to Bank high/low risk
- Reviewing clients based on section types who were on boarded previously to the bank and keep the record updated or verify them accordingly and match them with our records
- Validated correct customers information, required documents based on client’s section type with our system and match them accordingly
- Handle clients in both US and OUS where we validate with the necessary OUS Guidelines and procedures with requirements to validate with client information matching our records
- Always stick to our procedure and updates changes as per AML/KYC guidlines and complete the volumes withing the assigned deadline
- Established strong relationships with key stakeholders, facilitating effective communication across departments and teams
Transaction Specialist
Empower Pvt Ltd.
10.2016 - 05.2019
- Processed high-volume transactions accurately and efficiently using proprietary software systems
- Responsible for overseeing various activities across Cash inflow under Operations. Maintains accurate records and control reports
- Verify the statutory obligations for monitoring client transactions for any potential suspicion and where necessary, reporting suspicious activity
- Analyzed transaction data to identify trends, ensuring compliance with regulatory standards and company policies
- Experienced in due diligence and investigations, knowledge of screening/due diligence tools and data aggregators research skill
Sr. Process Administrator
Visionet Systems Pvt Ltd.
01.2013 - 08.2016
- Onboarding clients and verifying the necessary documents
- Conducted research and investigate accordingly periodic reviews on existing clients
- Performed periodic file reviews ensuring activities are reviewed in a holistic manner across the spectrum of products and services used by the customer
- Developed and maintained process workflows to ensure compliance with organizational standards
- Coordinated with internal partners such as Front, Middle, and Back Office staff to obtain required information and applicable documentation related to client on-boarding and KYC production
Education
Bachelor of Commerce -
BHSS
Bengaluru, IndiaSkills
- Periodic reviews CDD/EDD Client Onboarding
- Data Analysis
- Risk Assessment Procedures
- World -check Lexis-Nexis
- Excel SharePoint Quality Testing Tool
- Time management
- Leadership qualities
Timeline
Business Execution Associate
Wells Fargo
05.2019 - Current
Transaction Specialist
Empower Pvt Ltd.
10.2016 - 05.2019
Sr. Process Administrator
Visionet Systems Pvt Ltd.
01.2013 - 08.2016
Bachelor of Commerce -
BHSS
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