SWAROOP KV
Bangalore
Summary
Diligent professional with a track record in enhancing KYC compliance and quality control through effective staff training and development. Excelled in cross-functional teamwork and stakeholder management, significantly improving project outcomes. Expert in audit management and internal quality assurance, demonstrating leadership by mentoring teams towards excellence.
Overview
9
9
years of professional experience
1
1
Certification
Work History
Manager
State Street
04.2023 - Current
- Managed daily operations of KYC quality control (QC) team, overseeing coaching and continuous performance feedback.
- Analyzed data to discover trends and training requirements for enhancing profile quality using quality scores and RAG status.
- Presenting Weekly and Monthly Business Reports (W/MBR) to stakeholders.
- Coordinated cross-departmental projects to ensure timely and successful completion.
- Conducted regular meetings with staff to discuss progress and identify areas of improvement.
- Onboarded and mentored new hires for role-specific proficiency.
- Ensure that all existing audit recommendations within their remit are closed out.
Consultant
KPMG
06.2022 - 04.2023
- Performed sampling activities followed by the creation of comprehensive quality reports.
- Prepare and deliver audit findings.
- Conducted training sessions and refresher courses focusing on error patterns.
Team Leader
JPMorgan Chase & Co
11.2021 - 06.2022
- Evaluated data collection and verification conducted by KYC Operations Analyst to ensure accuracy and completeness before client team review.
- Collaborated with client-facing teams to ensure compliance of all client KYC records with regulatory standards in a timely manner.
- Evaluated documentation for end-to-end KYC activities of new and existing clients, ensuring high-quality standards.
Assistant Manager
Genpact
05.2020 - 11.2021
- Reviewed sanctions watch list alerts generated by automated transaction filtering.
- Conducted necessary quality checks according to regulatory standards across all customer types.
- Led team huddles to assess work efficiency and identify challenges.
- Facilitated routine communication with production leads to analyze and highlight discrepancies.
- Part of the core management team responsible for hiring 500 FTEs.
Associate
HSBC
12.2016 - 05.2020
- Conducted checks on sanction exposure, anti-money laundering, and financial crimes.
- Analyzed screening results for new clients and associated parties for potential risks.
- Collaborated with Relationship Managers, CMG, and CMDD teams to address case deficiencies.
Associate
State Street Global Advisors
09.2015 - 12.2016
- Conducted comprehensive due diligence to meet regulatory standards across all customer categories.
- Coordinated with business units to collect outstanding KYC documents promptly.
Education
MBA - Finance
Siddaganga Institute of Technology
TumkurSkills
- KYC Compliance Oversight
- Internal Quality Assurance
- Staff training and development
- Project planning and Resource allocation
- Recruiting and interviewing
- Coaching and mentoring
- Cross-functional teamwork
- Stakeholder management
- Policy and procedure development
- Performance evaluations
- Documentation and reporting
- Audit management
Certification
- Certificate No: C-2024-63672 Issue Date: December 8, 2024
Accomplishments
- Achieved a status where in No Quality check conducted on Low/Medium risk profiles.
- Received Gold team award for delivering quality profiles.
Timeline
Manager
State Street
04.2023 - Current
Consultant
KPMG
06.2022 - 04.2023
Team Leader
JPMorgan Chase & Co
11.2021 - 06.2022
Assistant Manager
Genpact
05.2020 - 11.2021
Associate
HSBC
12.2016 - 05.2020
Associate
State Street Global Advisors
09.2015 - 12.2016
MBA - Finance
Siddaganga Institute of Technology
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