Swati Singh

Compliance Manager

ICICI Bank UK PLC ( Wholly Owned Subsidiary of ICIC Bank Ltd)

Mumbai

07.2021 - Current

Review alerts as Investigator ( L2) by the transaction monitoring system ( SAS) and other detection mechanisms to identify potential suspicious activities.
Subject Matter Expertise for Enhance Due Diligence , SAR's in accordance with regulatory guidelines and thereby documenting the findings of the investigations ( Ground of Suspicion & SAR Part A & B)
Handled Screening for Live transactions and On-Boarding for New Customer in Fircosoft Screening System (By Lexis Nexis Risk Solutions) ensuring stringent adherence to AML regulations.
High Risk Remitter Approval for ORP ( One Remittance Platform- NRI Payment Platform to India) for On-boarding by Reviewing documents i.e Bank Statement, KYC and Tax Documents for establishing the Exact Profile of customer and Source of Wealth.
Managing the Central SAR's register and Internal Deny List Data ( Black List) data for Publishing to MLRO and Transaction Monitoring team.
Drafting and Finalisation of Case Study for identified Potential Suspicious accounts for onward subsmission to MLRO and Transaction Monitoring team for Knowledge updation.
Conducted training on Enhanced Due diligence checks and Adverse media checks for Existing Legacy screening of Customer.
Assignment of Alerts to Analyst ( L1) and Publishing the Daily MIS Dashboard.
Raising of BRS ( Branch Service Request) for Modification of existing Scenario for exclusions of Office account and crypto transactions.
Conducting UAT ( User Acceptance Test) on implementation of New SAS version 8.3.

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