Swarup Baruah
Lead Analyst
Gurugram
Summary
Lead Analyst with over 10 years of experience in Asset & Wealth Management, specializing in KYC, AML compliance, client onboarding, and periodic reviews within the U.S. financial services sector. Expertise in Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD), risk assessment, sanctions screening, and navigating global regulatory frameworks establish robust risk and control environments. Proven leader in managing cross-functional teams and fostering key stakeholder relationships, consistently driving operational excellence through strategic process improvements. Committed to enhancing compliance standards while delivering exceptional client service in a fast-paced environment.
Overview
13
13
years of professional experience
Work History
Lead Analyst – KYC & AML Specialist
AC & Ameriprise Financial
Gurugram
08.2015 - Current
- Led end-to-end KYC onboarding and periodic review processes for wholesale and corporate clients, ensuring full compliance with regulatory and internal policies.
- Reviewed and approved CDD/EDD documentation, performed quality checks, and resolved complex KYC issues.
- Acted as a key liaison between the Front Office, clients, and compliance teams to efficiently gather and validate due diligence information.
- Supervised and mentored analysts, allocated workload, reviewed outputs, and maintained SLA adherence.
- Drove process improvements and automation initiatives to enhance onboarding efficiency, and reduce turnaround time.
- Supervised KYC pipeline misreporting, providing performance metrics insights to senior stakeholders
- Strengthened risk and control frameworks, identifying gaps, and implementing corrective actions.
- Directed audit queries, regulatory reviews, and remediation tasks, ensuring high accuracy and prompt execution.
- Guaranteed alignment with AML regulations, FATCA/CRS protocols, sanctions screening, and global compliance standards.
- Handled escalations and complex cases, applying strong judgment, and regulatory expertise.
- Collaborated across teams to streamline onboarding processes and improve the client experience.
Benefits Operation Administrator
Aon Hewitt
Gurugram
10.2013 - 03.2015
- Administer the Medical and Insurance of the employee and typically monitor the process, answer question, and resolve the issue of the clients.
- Manual Claim Adjudication for multiple health care specialties, places of service, benefit, and plan types inclusive of both core medical and ancillary care services.
- Analysis of member benefits details and policy changes in support of member usability
- Setting proper rule structures to the end of driving higher efficiency and accuracy in the automatic and manual adjudication processes.
- Responsible for ensuring that AON Hewitt delivers timely and accurate information to every participant and involving in problem solving and process improvements.
- Manual loading of participant contribution amount in TBA for Healthcare and Dependent Care Accounts.
Education
BBA - Business Management
Dibrugarh University
Assam 04.2001 -
Skills
Risk Assessment & Management
Regulatory Compliance (AML, KYC, FATCA/CRS)
Stakeholder Management (Front Office, Compliance, Clients)
Client Interaction & Due Diligence Information Gathering
Cross-functional Collaboration
MIS Reporting, Data Analysis ,MS Excell & Power BI
Process Improvement & Lean Initiatives
Tools- LexisNexis, Actimize, Accuirint, COLA, OCR, Salesforce, Microsoft Dynamics
Timeline
Lead Analyst – KYC & AML Specialist
AC & Ameriprise Financial
08.2015 - Current
Benefits Operation Administrator
Aon Hewitt
10.2013 - 03.2015
BBA - Business Management
Dibrugarh University
04.2001 -
CORE RESPONSIBILITIES
- Participates in end-to-end requirement gathering and converting those into actionable items for delivery.
- Managed UAT support, escalations, and stakeholder queries, ensuring timely resolution and smooth transition to production.
- Partners with the business and project team to gather requirements and fully understand project goals, then uses this information to effectively plan and lead the development process.
- Proactively reviews plans and executes corrective action in response to production support issues as required and reviews processes to ensure development work adheres to standards and specifications including peer review and external code review.
- Ensures solutions are effectively tested prior to being released to production.
- Test & Execute: -Ensure Solutions is effectively tested prior to being released to Production and respond to all inquiries and issues in a timely manner and to move through the testing process and into production