Vinay Kumar Katta

• Manage a small group of AML Specialists / Analysts in support of the business’s AML framework and activities
• Client Screening and reviewing of Sanctions
• Strong understanding in AML/CTF and sanctions
• Adheres to the Firm’s Statement of Business Principles and Code of Ethics
• Compliance with relevant AML transaction monitoring policies, procedures and ensure applicable regulations are followed for the Hong Kong and Shanghai Banking guidelines of business
• Work closely with the business operating units to ensure that day-to-day / on-the-ground AML activities are performed in adherence to global/sector KYC/AML policies and guidelines. Incumbent will also work closely with the AML Senior Program Lead and Global teams to conduct impact and gap assessment of new policies and standards deployed for the business

• Handling CEO, Country manager and Jeffescalations

• Responding to legal notices received from customers

• Handled seller escalations on customers frauds

• Handling fraud investigations, account suspension and closures for individual accounts

• Handled buyer risk investigations

• Handling Return and refund abuse customers handling

• Proactive approach to process improvement, actively seeks opportunities for change that benefit the wider group

• Build and maintain relationships with business units as well as legal compliance partners

• Identify, investigate, and recommend improvements for enterprise data integrity, gathering and reporting

• Liaison with senior management within business units supported

• End to end management of client KYC process including liaison across business, compliance, and operations

• Perform ongoing customer due diligence including maintenance and updating of AML and KYC records for existing clients

• Co-ordination and collection of client-specific information and completion of documentation to assist in onboarding of new clients

• Provide business user support including responses to data inquiries, information, and training support

• Ensuring evidence of each client/customer's identity is collected in accordance with KYC Due Diligence policies

• Liaise with internal Compliance personnel on application of KYC policy

• Coordinate with account operations on purpose of account requests

• Handled account openings of clients and their dependents

• Switch clients account from joint to sole, company to individual and trustees accounts

• Switch funds from HSBC to third party providers

• Maintained world checks for clients as per HMRC guidelines

• Maintained bi-weekly reports of tranche maturities

• Setting up companies G trustees accounts

• Maintained plan managers lists for client details and identity