Summary
Overview
Work History
Education
Skills
Certification
Languages
Interests
Timeline
Generic
Vikasini Roham

Vikasini Roham

Pune

Summary

Dynamic Team Lead at UBS with expertise in regulatory compliance and risk management. Proven track record in developing SOPs that enhanced KYC efficiency and reduced errors. Skilled in team leadership and employee training, fostering strong partnerships across departments to drive operational excellence. Committed to maintaining high standards in client lifecycle management.

Overview

13
13
years of professional experience
1
1
Certification

Work History

Team Lead (AO)

UBS Pune: IN
04.2025 - Current
  • Led mid-size team in Client Lifecycle within Wealth Operations, specializing in Periodic Screening and Change-in-Circumstance processes to ensure compliance with regulations and policies.
  • Served as Subject Matter Expert (SME) on Client Lifecycle functions, managing regulatory updates and overseeing change processes for evolving compliance standards.
  • Cultivated strong relationships with key business partners, including Front Office, COO, Tax, Risk, Compliance, Platforms, and IT to facilitate smooth operations and effective communication.
  • Developed and implemented Standard Operating Procedures (SOPs) for KYC periodic review process, enhancing efficiency and reducing error rates.
  • Trained and mentored team members on process execution to ensure compliance alignment; conducted regular presentations for business stakeholders on operational objectives.
  • Monitored team performance through quality checks to ensure adherence to benchmarks; implemented corrective actions to enhance compliance and performance.
  • Conducted periodic KYC reviews and screenings for wealth management clients, ensuring compliance with regulatory standards.

Sr Analyst (ENO3)

Credit Suisse Pune: IN
10.2020 - 03.2025
  • KYC Document Review: Thoroughly reviewed Know Your Customer (KYC) documents to determine if clients fall into Special Category Customers, Politically Exposed Persons (PEP), Sanction-Exposed individuals/entities, or other high-risk categories, ensuring compliance with global regulations and bank policies.
  • Periodic KYC/AML Checks: Performed KYC/AML checks and conducted periodic reviews of existing clients, including both individuals and legal entities, ensuring that periodic screening adhered to regulatory standards and client risk profiles.
  • Client Types & Applications: Managed a variety of client types, such as Corporations, Funds, Special Purpose Vehicles (SPVs), Government entities, Non-Bank Financial Institutions (NBFIs), and Banks. Utilized applications like sanctions lists, word checks, approved stock exchanges, and regulatory databases to verify client information and mitigate risks.
  • Compliance Analysis: Analyzed accounts and client information against internal control policies and procedures, ensuring alignment with the bank's compliance framework, and regulatory requirements.
  • KYC File Maintenance: Ensured KYC files were accurately completed, updated, and maintained for all clients, reflecting current business activities and risk assessments.

ANALYST

Capita, Pune, IN
12.2019 - 08.2020
  • Led operations for UK O2 process, ensuring timely service delivery and attainment of KPIs.
  • Assisted UK customers with account management, resolving queries and technical issues efficiently.
  • Monitored daily operations to identify inefficiencies and bottlenecks, driving process improvements.
  • Conducted quality checks for strict SLA adherence, promoting continuous improvement in service delivery.
  • Collaborated with cross-functional teams to streamline processes and troubleshoot operational challenges.

Senior Officer

DBS Bank India LTD (HCL)
10.2017 - 09.2019
  • Managed end-to-end KYC periodic review process, ensuring timely follow-ups with business units and clients.
  • Coordinated document verification and updates with business units, maintaining compliance and accuracy.
  • Reported missing documentation promptly to facilitate seamless client profile updates in systems.
  • Conducted comprehensive Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) for high-risk clients.
  • Assigned appropriate risk ratings and scheduled next KYC review dates in compliance with regulations.
  • Executed regular screening for sanctions, PEPs, and adverse media to mitigate risks effectively.
  • Ensured adherence to all AML regulations and KYC policies, safeguarding organization from potential risks.
  • Monitored compliance with internal control policies during client onboarding and periodic reviews.

EXECUTIVE

ICICI
09.2014 - 10.2017
  • Delivered comprehensive banking services to CASA holders, resolving account queries and disputes efficiently.
  • Updated customer data for Wealth clients, ensuring accuracy and compliance with internal protocols.
  • Executed static data maintenance and conducted KYC reviews for Retail Banking clients, adhering to regulatory standards.
  • Verified hardcopy KYC documents for both Individual and Legal entities, ensuring all validations were completed.
  • Uplifted account blocks upon fulfillment of KYC requirements to ensure seamless access for clients.
  • Maintained MIS reports to support regulatory compliance, ensuring timely reporting of KYC-related metrics.
  • Ensured high levels of customer satisfaction through professional handling of inquiries and issues.
  • Collaborated with teams to align data updates with evolving regulatory requirements.

OFFICER

HDFC Bank (ADFC)
11.2012 - 12.2013
  • Managed inbound customer service calls for HDFC Bank, delivering professional assistance on diverse banking inquiries.
  • Consistently achieved key performance indicators, such as Average Talk Time and Average Handle Time.
  • Exceeded daily sales targets by leveraging strong product knowledge for effective cross-selling and up-selling.
  • Enhanced customer satisfaction through prompt issue resolution and addressing inquiries thoroughly.

Education

MBA - Banking And Finance

Symbiosis Distance Learning
Pune
04-2026

Bachelor of Commerce - Marketing Management

MES Garware College of Commerce
Pune
07-2012

Skills

  • Microsoft Excel, Word, and PowerPoint
  • Team leadership and project management
  • Risk management
  • Regulatory compliance and quality assurance
  • Standard operating procedures adherence
  • Employee training and development

Certification

  • Microsoft Excel
  • MSCIT

Languages

Marathi
Bilingual or Proficient (C2)
Hindi
Bilingual or Proficient (C2)
English
Bilingual or Proficient (C2)

Interests

I am highly interested in gaining in depth knowledge of the end-to-end Anti-Money Laundering (AML) framework, including transaction monitoring processes, risk assessment, and compliance controls In line with this, I am also aspiring to pursue the ACAMS certification to strengthen my expertise and establish a strong foundation in financial crime prevention and regulatory compliance

Timeline

Team Lead (AO)

UBS Pune: IN
04.2025 - Current

Sr Analyst (ENO3)

Credit Suisse Pune: IN
10.2020 - 03.2025

ANALYST

Capita, Pune, IN
12.2019 - 08.2020

Senior Officer

DBS Bank India LTD (HCL)
10.2017 - 09.2019

EXECUTIVE

ICICI
09.2014 - 10.2017

OFFICER

HDFC Bank (ADFC)
11.2012 - 12.2013

MBA - Banking And Finance

Symbiosis Distance Learning

Bachelor of Commerce - Marketing Management

MES Garware College of Commerce

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Vikasini Roham