Sutapa Paine
Bangalore
Summary
Results-driven banking professional with over 6 years of expertise in AML and KYC compliance. Proven ability to manage risk while designing and implementing strategies that drive profitability for organizations.
Core competencies include regulatory adherence, risk assessment, and process optimization. Aiming to leverage extensive knowledge to enhance operational efficiency and support business growth.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Client Data Specialist IV
JPMorgan Chase & Co
Bangalore
04.2022 - Current
- The process involves documenting to onboard foreign private investors (FPIs) for cash equity product booking into India BLEs, including both top and sub-accounts with JP Morgan India Private Limited through both pre- or post-trade allocation.
- The sub-funds are required to be compliant with SEBI and the Prevention of Money Laundering Act (PMLA) requirements.
- Facilitated collaboration with AML, GFCC, business management and senior leaders for effective handling of BAU activities.
- Performed detailed review of customer files to identify and investigate any potential risks or discrepancies.
- Ensured all documents are properly filed, stored, and updated according to established policies and procedures.
- Escalate client requirements to relationship managers and top management
L3 Alert Review Analyst
The Hong Kong and Shanghai Banking Corporation (HSBC)
Bangalore
11.2018 - 03.2022
- Company Overview: L3 Alert Review Analyst (KYC-COD Ops – Global Screening Utility, Global Ops)
- Evaluated investigations conducted at multiple screening stages to identify opportunities for dismissing alerts effectively.
- Adhering to compliance and operational risk controls in accordance with company and regulatory standards, policies, and practices, report control weaknesses, compliance breaches, and operational loss events.
- Assist in reviewing alerts, and provide support on all AML and KYC monitoring functions performed by Global Customer Due Diligence (CDD).
- Review new and existing alerts on HSBC clients and related parties for potential matches to adverse media, and help identify politically exposed persons.
- Perform research to confirm whether the negative news alert is a positive match or a false positive for the client, or whether the alert is not risk-relevant, and document findings.
- Perform reviews on negative news (adverse media), (NN), or politically exposed persons (PEP) alerts.
- Conducted screening using a screening tool for PEP and NN alerts.
- Ensuring that information and documentation related to screening is properly maintained.
- Maintain knowledge of AML regulations, and be able to relate them to HSBC policies and procedures.
Document Verification Executive Officer
OLA i.e., ANI Technologies Pvt. Ltd.
12.2017 - 08.2018
- Company Overview: Document Verification Executive Officer
- Verification, authentication and approving the details and documents uploaded by operator and Ola drivers for the first-time registration
- Verifying Bank Details with CVT Team to get the legality to drive the car & permit to drive with Ola
- Document Verification Executive Officer
Education
B.Com. -
Vinoba Bhave University
01.2017
ISC -
Loyola School
Dhanbad01.2014
CBSE -
S.G.D Modern School
01.2012
Skills
- Client onboarding
- Document review
- Know your customer
- Sanctions screening
- Politically exposed persons identification
- AML investigations
- Customer due diligence
- Know your customer procedures
Certification
- NISM- National Institute of Securities Markets- Series VII: Securities Operations and risk management.
- NISM- National Institute of Securities Markets- Series VI: Depository Operations Certifications.
Personal Information
- Father's Name: Sukumar Paine
- Date of Birth: 11/03/96
- Nationality: Indian
- Marital Status: Married
Disclaimer
I hereby declare that all the above information is true and correct to the best of my knowledge.
Timeline
Client Data Specialist IV
JPMorgan Chase & Co
04.2022 - Current
L3 Alert Review Analyst
The Hong Kong and Shanghai Banking Corporation (HSBC)
11.2018 - 03.2022
Document Verification Executive Officer
OLA i.e., ANI Technologies Pvt. Ltd.
12.2017 - 08.2018
B.Com. -
Vinoba Bhave University
ISC -
Loyola School
CBSE -
S.G.D Modern School