Swati Tripathi

• PEP Screening: Proficient in conducting through investigation of PEP screening by identifying people who are or may be politically exposed persons (PEPs) and their close associates whose are considered high risk for involvement in corruption, bribery and money laundering due to their positions of power and influence
• Ongoing Monitoring: Experienced in implementing and enhancing transaction monitoring systems to monitor customer transactions and identify potential risks and anomalies during the process
• OFAC Screening & Escalation: Skilled in performing Office of foreign Asset Control (OFAC) Screening by deep research and observation against prospect terrorism entities and also versed in OFAC escalation where we verify a customer by checking their original identity and other required documents
• Know Your Customer (KYC): Skilled in KYC and Customer due diligence, understand the nature customer to mitigate the risks of financial crime, fraud, and other illicit activities
• Provided guidance to junior team members, helping them grow their expertise in AML/KYC analysis techniques.
• Monitored market trends and news to identify emerging opportunities.

• Conduct comprehensive Know Your Customer (KYC) and Know Your Business (KYB) assessments for individuals, sole proprietors, Limited Liability Partnerships (LLPs), and partnership firms, ensuring thorough customer due diligence (CDD).

• Perform Enhanced Due Diligence (EDD) on high-risk clients to assess potential risks and ensure compliance with regulatory requirements.Monitor transactions for alerted users to identify potential red flags and suspicious activities related to money laundering and terrorist financing for a U.S.-based bank.

• Conduct adverse media screening to detect negative news impacting users.

• Escalate potentially suspicious and high-risk users related to underage activities, fraud risks, buyer-seller abuse, and other policy-defined risks; execute account suspensions as necessary.

• Conduct screenings against OFAC-sanctioned entities and embargoed goods and items to ensure compliance with U.S. trade regulations.

• Maintain Key Performance Indicator (KPI) metrics with a quality rate consistently above 99.5% and productivity exceeding 100%.