Pawan Thakur

Quality Assurance & Compliance Monitoring

• Conduct in-line quality checks on KYC/AML processes to ensure adherence to policies and regulations
• Review customer due diligence (CDD), enhanced due diligence (EDD), and periodic reviews for accuracy and completeness
• Identify discrepancies, errors, or missing information in customer files and escalate as needed
• Reporting & Documentation
• Maintain detailed reports on quality review findings, error trends, and process improvement recommendations
• Assist in preparing audit and regulatory reports by providing QA insights
• Document best practices and updates to compliance procedures
• Stakeholder Communication & Training
• Collaborate with compliance teams, risk analysts, and operations teams to resolve issues
• Provide feedback and coaching to analysts to enhance accuracy and efficiency
• Assist in training programs for KYC/AML analysts on quality standards and regulatory changes.

• Customer Due Diligence (CDD) & Enhanced Due Diligence (EDD)
• Perform KYC due diligence on new and existing customers to assess financial crime risks
• Ensured compliance with global AML/KYC regulations such as per country local regulatory guidelines
• Stayed updated with regulatory changes and recommend updates to internal policies
• Assisted in remediation projects and regulatory audits to ensure adherence to compliance standards
• Stakeholder Collaboration & Training
• Worked closely with relationship managers, compliance officers, and fraud prevention teams to mitigate risk
• Assisted in internal training programs to enhance awareness of AML/KYC policies
• Provided recommendations for improving AML/KYC workflows and risk assessment models
• Assisted in KYC remediation projects to update and validate existing customer profiles
• Conducted periodic reviews for corporate and individual customers to assess ongoing risks
• Provided support for regulatory audits and compliance reporting
• Trained junior analysts on AML/KYC policies and best practices.

• Ensures compliance with company policies, procedures & regulatory requirements
• Check whether all required documents in file are meeting the guidelines requirement and also to check whether all important document present in file and shows the correct information
• Analyzes Customers data, including Credit reports and other documents, in order to determine significant risks
• Reviews on-going procedures in the process on monthly basis to evaluate if Standard Operating Procedures (SOPs) are being adhered to in the team
• Responsible for undertaking audits in the team to identify and suggest improvements to mitigate the risks in the processes, activities, and systems
• Discusses audit findings on the Loans Audited in a month with line managers and report significant issues to the Line of Business

• Daily Banking& Credit Control and Debtor Ledger Maintenance
• Preparation of bank statements and payments received and posting of same to the Finance System
• Prepare bank deposits
• Maintain up-to-date billing system
• Generate and send out invoices
• Carry out billing, collection and reporting activities according to specific deadlines
• Generate age analysis, review AR aging to ensure compliance
• Maintain accounts receivable customer files and records