Veerendra CH

• Led quality control initiatives to enhance KYC compliance accuracy, resulting in improved operational efficiency and reduced risk exposure.
• Developed and implemented training programs for team members, fostering a culture of continuous improvement in KYC processes and standards.
• Conducted detailed audits of KYC documentation, identifying discrepancies and ensuring adherence to regulatory requirements and internal policies.
• Mentored junior staff in KYC regulatory frameworks and best practices, enhancing team competency and knowledge retention.
• Participated in regular management review meetings, providing updates on quality control performance and suggesting areas for improvement.

• Responsible for reviewing KYC profiles of the clients by validating KYC documents, obtaining required information from the clients, and updating internal records.
• Responsible for identifying the source of funds and the source of wealth of the clients, deriving the risk rating associated with the clients, and taking appropriate measures to mitigate risk.
• Acting as a subject matter expert in various aspects of the account maintenance and change-in-circumstance processes, which include but are not limited to changes of beneficial ownership and various capacities, tax topics like FATCA and AEI, investment suitability, and other mandatory requirements to ensure all accounts satisfy the required regulatory and policy standards.
• As part of BAU, roles and responsibilities include performing quality checks on the KYC profiles worked on by the makers. Identifying errors and providing constructive feedback.
• Allocating work to the sub-staff, consolidating the work completed, and delivering daily and monthly MIs to the business.
• Responsible for representing CLMC in monthly governance calls.

• Responsible for performing due diligence for existing clients, requesting the KYC information, documentation, review, and verification of received documentation.
• Worked independently, liaising with the business sponsors and the clients in order to get the missing and expired KYC information.
• Refreshing the client’s KYC profile and making an analytical risk assessment for clients.
• As part of my daily routine, worked closely with the RHOB and FCP teams to get relevant sign-offs.
• Responsible for investigating high-risk clients and reporting where necessary, including Politically Exposed Persons.
• I have worked on various entities, such as corporations, LLPs, LLCs, SPVs, funds, trusts, banks, and other financial institutions.
• Had hands-on experience of Excel, RDC, Lexis Nexis, Tableau, and Fenergo tools.

• Responsible for onboarding new clients (COB) and exceptions in line with regulatory standards and jurisdictions.
• Assisted the bank clients in managing all KYC and account-opening requirements with appropriate governance and controls.
• Performed customer due diligence before opening a client’s bank account.
• Worked on applications like LEXIS NEXIS, World Check, and RDC.
• Supported KYC processes for prospective and existing customers.
• Ensured compliance with regulatory requirements by conducting thorough customer due diligence checks.
• Determined customer risk ratings based on analysis and research findings.

Cross-Functional Support: Data Analyst - CRS/FATCA.

• Validated the FATCA and CRS documents by validation and reasonableness tests, which include retail and commercial customers.
• Provided the right documentation and letters to the customers who failed the V&R process. Handled business calls from our clients offshore.
• I took ownership of the queues to check the status of all the queues in order to complete the work within the time frame, and ensure there is no SLA breach.

• Responsibilities include opening new Demat accounts, generating brokerage through the equity market and F&O market, and cross-selling mutual funds and Nifty-linked debentures.
• Drive business by acquiring PCG, HNI, and corporate clients.
• Acquiring new clients and advising on their long-term and short-term investments.