Umesh Singh
Kalyan,MH
Summary
Seeking a challenging career in an organization wherein my acquired skills and capabilities get maximized in professional and progressive environment.
Highly efficient 1L FCR Reviewer well established in fast-paced and challenging environments. Eager to learn with aptitude for applying new knowledge with skill and efficiency.
Proactive and goal-oriented professional with excellent time management and problem-solving skills. Known for reliability and adaptability, with swift capacity to learn and apply new skills. Committed to leveraging these qualities to drive team success and contribute to organizational growth.
Overview
12
12
years of professional experience
1
1
Language
Work History
Enhanced Due Diligence-Associate
Morgan Stanley
02.2024 - Current
- Prepare checklist on the basis of form of the entity, preparing AML risk checklist to identify risk category on the basis of different risk parameters and tax checklist.
- Perform AML/KYC on ETRADE customer and collecting required documents for Entities and Individuals.
- Reviewing AML documents and performing client onboarding process through CDD and EDD on Low, Medium and High Investors.
- Performing Enhanced Due Diligence on High-Risk Investor like PEP. Reviewing of AML/KYC documents for all entity types. i.e. Cooperates, foundation/ Charities, institutional Investors, trusts etc.
- Developed and implemented strategies to increase customer satisfaction and engagement.
- Facilitated training sessions for new employees, ensuring smooth onboarding process.
- Improved team collaboration by initiating regular coordination meetings.
- Generated reports detailing findings and recommendations.
- Evaluated customer needs and feedback to drive product and service improvements.
- Educated staff on organizational mission and goals to help employees achieve success.
- Conducted regular reviews of operations and identified areas for improvement.
Senior Associate
Apex Fund Services LLC
08.2022 - 02.2024
- Prepare checklist on the basis of form of the entity, preparing AML risk checklist to identify risk category on the basis of different risk parameters and tax checklist
- Requesting subscription agreement and KYC documents from client
- Checking on KYC documents and analyzing if the documents are within the specified process details eg. checking expiry date of signed entity document, ID proof
- Performing external research on entity name to collect information available on open resource
- Performing screening through world check and on open resource such as google to identify adverse hits on entity or individuals associated with the entity
- Identifying pep hits on individuals associated with entity and highlighted the same to compliance team for further investigation.
- Performing research on source of funds and source of wealth to identify their sources and requesting supporting documents.
Senior Associate (Level 6)
Deutsche Bank
09.2021 - 08.2022
- Perform KYC on EDD, CDD, SDD for Individual and corporate clients.
- Maintain report for productivity and quality of Team.
- Worked for Private entity, Special purpose vehicle (SPV).
- Part of client call
- In 15 days become CLM green light maker
- Giving update on team call
- Maintaining file for pending requirements of each client especially January NRD
- Trained and supported new team members, maintaining culture of collaboration.
- Consistently maintained strong relationships with clients, ensuring clear communication and timely updates on project progress.
- Identified potential risks to develop mitigation plans and minimize impact on project timelines.
- Conducted regular reviews of operations and identified areas for improvement.
Quality Auditing Associate
Accenture Solutions Private Limited
03.2019 - 09.2021
- Perform quality inspections, document findings using required audit process/procedures.
- Execution of end-to-end KYC remediation process for identified population, including identification, verification, sourcing of documents and Screening.
- Reviewing the existing KYC document to perform gap analysis in line with regulatory requirements.
- Performed the required KYC screenings (World check and Factiva) on customers documenting & evaluating the information and negative news/hits/ PEP Hits obtained on the client’s as required by global KYC procedures.
- Ensuring compliance with AML laws, regulations, guidelines, written procedures; Sanctions, OFAC, CIP.
- Implement customer risk rating criteria with KYC management and procedure for both consumer and corporate customer.
- KYC analysis included summarizing structures and control, identifying and verifying the ultimate beneficial owners of the firms and performing EDD (Enhanced Due Diligence) for high-risk clients.
Officer, Senior Associate
Atos Syntel Services Private Limited
06.2014 - 03.2019
- Analysis on errors and trained to new staff as well as supports to production department.
- Act as liaison between the bank and regulatory and law enforcement agencies for compliance matters and investigations.
- Working with various management companies and following guidelines from them for analysis of various aspects.
- Ensure timely, efficient reporting of suspicious transactions to Money Laundering Reporting Officer (MLRO).
- Verifies all aspects of Client Identification Program (CIP) and necessary account opening documents are provided and in accordance with know Your Customer (KYC), UK FCA and PRA standards.
- Ensuring the proceeds to be settled on time instructed by clients.
- Working on legal matter like adding power of attorney by following guidelines and other aspects and instructions by client.
- Adding beneficiary ownership instructed by clients.
Education
Bachelor of Commerce -
R.K.T College
01.2014
H.S.C - undefined
R.K.T College
01.2011
S.S.C -
Devi Dayal Hindi High School
Kalyan, India01.2009
Skills
Positive attitude
Accomplishments
- Achieved spot recognition 100% quality in new team in the month of July 2016.
- Achieved best employee performance converge award for the quarter July 2016 to Sep 2016.
- Passed the chartered institute for Securities & Investment (IOC) exam which was held on 22"November 2016.
- Achieved Titan for the month of April 2017.
- Achieved spot recognition for achieve target sin BAU in the month of April 2017.
- Achieved spot recognition for contribution towards BAU in challenging work environment in the Month of August 2017.
- Achieved spot recognition for completing Manco project in weekends including client holidays in the month of April 2018.
- Achieved best employee performance converge award for the quarter July2018 to Sep 2018.
- Titan of the Month for August 2018.
Disclaimer
I hereby declare that the information provided above is related to me & true to the best of my knowledge. Place: Kalyan Umesh Singh
Personal Information
- Date of Birth | 20 April 1994
- Marital status | Single
- Nationality | Indian
Timeline
Enhanced Due Diligence-Associate
Morgan Stanley
02.2024 - Current
Senior Associate
Apex Fund Services LLC
08.2022 - 02.2024
Senior Associate (Level 6)
Deutsche Bank
09.2021 - 08.2022
Quality Auditing Associate
Accenture Solutions Private Limited
03.2019 - 09.2021
Officer, Senior Associate
Atos Syntel Services Private Limited
06.2014 - 03.2019
H.S.C - undefined
R.K.T College
Bachelor of Commerce -
R.K.T College
S.S.C -
Devi Dayal Hindi High School