THEJESHWINI H S

• Working as part of first line of defense, key responsibilities are
  Incidents/Issues review and approval that are raised by operation team with detailed analysis of root cause that aids in remediation of financial and non-financial impacts.
  Leading the process and control review to identify and strengthen the control environment along with control design assessment along with the operating effectiveness testing for centrally run programs.
  Lead the client specific process control review to understand the operating effectiveness and control gaps on enterprise wise operation.
  Supported the SOX testing function for accounting operations.
  Collaborate with operations team understand the process assess the core risk regulatory requirement to build the strong controls.
  Assessing and risk rating the enterprise wise operations.

Handled a Team of 22 people and responsible for Compliance service delivery in Centers, ensuring high quality output for one on the Jersey Jurisdiction

Streamlined compliance processes by implementing efficient monitoring systems and tools.

In partnership with the AML/KYC Service Owner develop work management strategies ensuring SLAs and KPIs are maintained, trends are identified, and volumes managed effectively

Responsible for the training and development of team members, ensuring training conducted at a Centre level is aligned with agreed functional and service processes and procedures

Support team members in their roles and support departmental performance and success through technical and critical skills training; identify training needs and work with the team to ensure they have the training and support required to perform competently in their roles

Developed comprehensive training programs for employees, fostering a culture of compliance throughout the organization.

Collaborated with cross-functional teams to establish clear compliance guidelines and expectations for all departments.

Enhanced overall business operations by continuously improving policies, procedures, and controls related to compliance requirements.

• Plan, design, implement and maintain compliance/risk management policies and procedures
• Being proactive, interactive, and analyzed the regulatory requirement to assess the controls effectively
• Monitor and ensure compliance with standards and procedures implemented by compliance programs
• Identify and report any non-compliance or suspicious activity, in accordance with anti-money laundering regulations, to Management in a timely manner
• Directing, leading and motivating the team leads and senior officers imparting on job training for accomplishing greater operational efficiency
• Performance management – Objectives setting, training, developing improvement plans and providing feedback
• Managed the transaction profiling project and transfer in of 120 clients
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• Responsible for performing Quality assurance reviews for wholesale banking remediated client’s profile and make sure the profile remediated are of high quality and adhering with agreed SLA
• Review and research documents from the network shared drive database, Internal and external research
• Conduct detailed analysis and assessments of new client from a risk perspective
• Actively participated and contributed in all stages of the review i.e
• Pre-planning, planning, fieldwork, issue discussion and reporting
• Responsible for primary/secondary quality checks done by the team are of the best quality and adhering with agreed SLA.
• Analyzing the check image file data entry of relevant field such as check issue date, check number, originator/beneficiary/endorser with relevant secondary id’s such as address, driving license, passport id, SSN etc.
• Performing various searches on the parties involved in the transaction to find the relevant information and performing the negative news searches.
• Articulate the investigative writings with appropriate findings and evidences to conclude the case to be escalated or closed as not suspicious

⇨ Assisted in investigation projects in case of whistle blower allegations.

⇨ Assisted in investigation projects involving marketing, procurement and revenue department/processes for the industries including health care, Automobile and Consumer goods.

• Analyzing the errors to determine root cause/trends and instruct the team to take appropriate action
• Responsible of handling 12 team members and meeting the client expectation in achieving weekly and monthly targets
• Preparing Weekly MI for team and investigate the areas of improvement
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• Performing Client Due Diligence (CDD) and Enhanced Due Diligence (EDD) on Corporate clients
• Liaising with Business for TAX Documents and FATCA Classification documents
• Being Subject Matter Expert (SME) of the process act as Point of Contact for multiple teams for any escalations/queries on KYC, FATCA/CRS (Common Reporting Standard)
• Performed QA checks on FATCA Classification and reporting through Tax document validation (W8 W9 and self- certification)
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• Researching and reporting all the cash transaction which are greater than US $10000 Internal Revenue Service’s (IRS).
• Raising PSAR against the suspicious customers.
• Involved in the brain storm sessions and analyzing the root cause whenever the new issues comes up.
• Validation and verifying whether the customers (businesses) have fulfilled the account opening procedure
• Reviewing the escalations and quality report and giving immediate feedback to the processors which helped in increasing the accuracy rate
• Validation and certification of customer account with suitable withholding code based on the W-9 document.
• Actively involved in the migration of business banking and trained the other team members.
• Conducting weekly process Quiz and monthly process knowledge test to team.
• Part of people PIX team (Recruitment panel).