Swati Garg
Jaipur
Summary
- Goal-driven AML and compliance professional with 6.5+ years of experience in transaction monitoring and risk reporting, seeking to leverage expertise in financial crime investigation at a dynamic financial institution.
Overview
7
7
years of professional experience
Work History
Senior Analyst
Deutsche Bank
11.2022 - Current
- Conducted transaction monitoring and AML investigations aligned with international compliance standards.
- Prepared and reviewed Suspicious Activity Reports (SARs), STR filings, and documentation to support compliance decisions.
- Utilized platforms such as Actimize, Samargd, Finacle, CLM, World Check, and OFAC to assess and report suspicious activity.
- Participated in testing procedures using compliance testing methods.
- Reviewed and investigated daily transaction alerts flagged by Actimize for potential money laundering, terrorist financing, and fraud.
- Performed name screening and adverse media checks using World-Check and NLS.
- Drafted clear and concise narratives summarizing investigation outcomes.
- Escalated potential matches to the Compliance Officer for further review.
Senior Associate (compliance team leader)
Formidium Corp.
02.2021 - 11.2022
- Keen understanding of end-to-end financial crime, AML/KYC transaction monitoring, AML screening function, CDD, EDD, individuals, and entities onboarding process in the system verified based on following AML within TAt.
- Understanding of global jurisdiction and regulatory requirements through knowledge of different entity types including listed, regulated, private, public, trust, foundation, and knowledge of US tax forms (W-9, W-8 BEN, W-8 BEN-E, W-8 EXP).
- Fair understanding of call funds, hedge funds, cryptocurrency, equity, venture capital, call options, call notices, capital activity, re-KYC, and subscription and redemption activity.
- Review and resolve various exceptions reports and perform FATCA/CRS filing due diligence around US Indicia monitoring / Change In Circumstance, GIIN, MLO, vnoticesions, and other pending validation queues for review.
Area Coordinator
Janhit kalyan and Vikash Sasthan
07.2018 - 12.2020
- Develop and manage the overall five-year multifunctional plan, perform accounts receivable duties, including invoices, research, chargebacks, and reconciliation.
Education
Bachelor of Commerce -
Subodh college of commerce
01-2016
High School Diploma -
RBSE Ajmer
01-2013
High School Diploma -
Saint RKDSS
01.2011
Master of Commerce -
University of Rajasthan
01-2018
Skills
Core Skills: AML Investigations, Transaction Monitoring, KYC/CDD/EDD, STR/SAR Filing
Tools: Actimize, Finacle, CLM, World Check, OFAC, Excel, Access
Soft Skills: Decision Making, Communication, Adaptability
Hobbies and Interests
- Novel reading
- Yoga/meditation
- Travelling
- Badminton
Projects
Compliance Testing Project – Executed risk assessments and testing for detection systems (Actimize, Smaragd MDS), ensuring regulatory compliance and recommending corrective actions.
Extra Curricular Activities And Achievements
- AML for Financial Services Certificate (21.1)
RS-CIT (Rajasthan State IT Course)
GST Certificate Course (PMKVY)
Languages
English
Proficient
C2
Timeline
Senior Analyst
Deutsche Bank
11.2022 - Current
Senior Associate (compliance team leader)
Formidium Corp.
02.2021 - 11.2022
Area Coordinator
Janhit kalyan and Vikash Sasthan
07.2018 - 12.2020
Bachelor of Commerce -
Subodh college of commerce
High School Diploma -
RBSE Ajmer
High School Diploma -
Saint RKDSS
Master of Commerce -
University of Rajasthan