VIJAY SHASHANK V

PEP Due Diligence Responsibilities

Conducted global screening using international databases and sanction lists to identify Politically Exposed Persons and their networks.

• Assessed risk levels based on public roles, high-risk jurisdictions, and relational indicators.
• Verified identities and documented the legitimacy of wealth and funding sources in compliance with AML/CFT standards.
• Monitored transactions continuously to flag anomalies and ensure ongoing scrutiny.
• Maintained comprehensive, audit-ready documentation while coordinating with cross-regional teams.

Enhanced Due Diligence (EDD) Responsibilities

• Led in-depth risk assessments by developing detailed customer profiles covering beneficial ownership and historical financial activity.
• Analyzed large datasets to detect atypical transaction patterns and high-risk indicators.
• Established continuous monitoring protocols to promptly identify and escalate suspicious activities.
• Collaborated with legal, compliance, and risk management teams to refine due diligence processes.
• Maintained transparent documentation and periodically reviewed risk profiles in line with evolving regulatory frameworks.

• Undertaking research, documents check, and financial crime assessment via internal and external sources
• Detecting and reporting suspicious activity by raising UAR’s including the predicate offences to money laundering and terrorist financing.
• Ensuring that all documents submitted for EDD are in line with internal policies
• Identifying and analyzing alerts generated by the monitoring system in order to identify potential suspicious activity
• Escalate any red flags and potential risks to the escalation team
• Identification of PEP’s and carrying out investigations by following the internal policies
• Assisting new joiners as a SPOC to settle down in the process
• Conducting team meetings and team building activities
• Worked on various projects and initiatives for the team and new implementations

• Part of the Rolling review/Periodic Review team in Goldman Sachs
• Experienced in performing KYC on different financial products and various types of entities like Trust, Special Purpose Vehicle, Private fund, Public fund, Insurance, etc
• Performed KYC checks on high risk to low risk clients and on multiple jurisdictions and policies triggered in the case
• Working knowledge on KYC for jurisdictions/policies around the world
• Performed screening checks for Principals and entities, and raised potential matches for further compliance review
• Completed KYC checks using internal repository documents and documents found in the open source like Bloomberg, D&B, Client Website, Regulators website, corporate registry, etc
• Analysis of Wolfsberg Questionnaire for high risk clients
• Identification of Beneficial owner from client confirmation and the Ownership drill-down
• Achieved targets within provided timelines and maintained good quality

• Worked on NAB (National Australia Bank) KYC Project
• KYC project was about refreshing the Customer’s - Individual’s data
• Identified the Individual’s having red flags like fraud, PEP, etc
• Analyzed customer’s transactions to search for any red flags
• Achieved the targets with top quality
• Got appreciated by the team in numerous occasions for achieving the targets and giving good quality

• Setup approval flows in the system. Adding the right approvers as per the charge code, department, amount and the invoice threshold limit. Perform updates on approval flow setups.
• Communicating the approvers via emails and calls to get his/her approval for the invoice.
• Perform updates on approval flow setups.
• Handling of different global regions pending approval files like Middle East, France, Asia, External Worker Invoices, etc on a weekly basis.
• Maintaining communications with the local office, leadership level, Partners, Senior Partners to solve issues and queries.
• Gave training on the process to the manager and the team leader.
• Setup vendors and updating the records and information in the system. The key responsibilities were coordinating and collection of client specific information and completion of documentation to assist in the on-boarding of new clients.
• Managed multiple tasks simultaneously, ensuring timely completion of all assignments.
• Communicated effectively with colleagues and supervisors to resolve issues promptly and accurately.