Viswanath Nataraj
Bengaluru,Karnataka
Summary
Detail-oriented Compliance Officer dedicated to improving policies and procedures in all business areas. Hardworking and driven with quality-focused and proactive approach. Bringing 7 years of experience in Compliance. A quick learner with zeal to enhance knowledge and skills Ability to work in a team and contributing towards the smooth flow of work. Demonstrated team sprit through achieving individual and team targets efficiently. Demonstrated accuracy and thoroughness, looks for ways to improve and promote quality, applying feedback to improve performance and monitoring own work to ensure quality Develop, deliver and track AML/CTF and Sanctions training for China, Hong Kong, UK, Singapore, Sahara countries and Middle east countries. Strengths: Efficient learner, self- starter, confident & optimistic. Ability to understand, analyze & resolve problems to meet expectations. Willingness to learn and update knowledge.
Overview
10
10
years of professional experience
Work History
Compliance Assistant
Al Muzaini Exchange
09.2022 - Current
- Conduct monitoring and surveillance (M&S) activities for AML-related controls executed within business units, and complete M&S templates as appropriate
- Provide support for Compliance Oversight/ Program as it relates to AML-related activities Provide research and assistance with inquires related to KYC/CDD/EDD, monitoring alerts, periodic risk reviews, and other AML-related issues as needed Conduct research on high risk accounts, and review monitoring conducted within business units as needed
- Assisting with reporting of blocked and rejected transactions to the relevant financial regulators Assess stage clearing high volumes within stipulated cut-off times for each country Screening payments under regulation of sanction (OFAC, EU, UN, HMT and other regulators)
- Filing SAR and working On UAT platform to check the process is in compliance with the rules and regulations of the financial regulators (CBK).
Senior Analyst
Standard Chartered Bank
01.2018 - 07.2022
- AML & Sanctions Investigations & Reporting - Suspicious Matter Reports Analyze significant financial crime risk events to ensure that all connected parties, particularly cross-border are identified and reported at the appropriate level internally across all relevant jurisdictions Screening payments for 24 plus countries Assisting with the reporting of blocked and rejected transactions to the relevant financial regulators Assess stage clearing high volumes within stipulated cut-off times for each country Screening payments under regulation of sanction (OFAC).
Senior E Service Associate
Hipower Support limited
09.2016 - 01.2018
- Advised customers on a wide variety of gaming consoles, games, accessories, upgrades, and trade-ins
- Matched customers with products that will bring an enjoyable GameStop experience
- Exceeded the high commitment to customer service
- Provided recommendations on upgrades, insurance, and software operations
- Provided telephone support to customers with questions and software problems.
Customer Relation Officer
HGS
12.2014 - 04.2016
- Upheld quality control policies and procedures to increase customer satisfaction
- Informed customers about billing procedures, processed payments and provided payment option setup assistance
- Consulted with customers to resolve service and billing issues.
Education
Bachelor of Engineering - CSE -
VMKV Engineering College, Under Vinayaka Mission University
Salem05.2013
PUC -
Gauri Independent College
Bangalore04.2009
High School Diploma -
RV Public School, Indian Council For Secondary Education
Bangalore04.2007
Skills
- Knowledge of analytics programs
- Tech-savvy
- Statistic analysis expertise
- Procedure optimization
- Friendly, positive attitude
- Financial planning
- Financial performance
- Compliance review
- Documentation Review
- Anti-Money Laundering
- Regulatory filings
- Sanctions compliance
- Risk Identification
- Payment Processing
Additional Information
Ability to Work under Pressure, stresses, and meets deadlines. Ability to Work in a team with high level of involvement. Key Responsibilities: Customer On-boarding. On boarding of new customer and background verification. Identify and escalate potential compliance issues or red flag. Provide internal and external compliance guidance's to Customer. Investigation of credit report and bank Statement for the Customer. Ensuring KYC/AML risk assessments using corporate compliance tools and methods. Evaluate advisor adherence to risk identification program. Articulated the business model, financial services rules and regulations. Investigation on portfolio management of Customer. Escalated the positive and potential hits with regard to the sanction, PEP and negative media searches and preparing the documents. Obtained approvals to determine if the customer has to be on-boarded/retained or exited and Keeping a complete documentation of the remediation done on identifying the deficiency.
Timeline
Compliance Assistant
Al Muzaini Exchange
09.2022 - Current
Senior Analyst
Standard Chartered Bank
01.2018 - 07.2022
Senior E Service Associate
Hipower Support limited
09.2016 - 01.2018
Customer Relation Officer
HGS
12.2014 - 04.2016
Bachelor of Engineering - CSE -
VMKV Engineering College, Under Vinayaka Mission University
PUC -
Gauri Independent College
High School Diploma -
RV Public School, Indian Council For Secondary Education
Similar Profiles
RAZIA KHATHOON USMAN KHANRAZIA KHATHOON USMAN KHAN
Branch Incharge at AL MUZAINI ExchangeBranch Incharge at AL MUZAINI Exchange
Jithu GopiJithu Gopi
Cashier/Customer Service Officer at Al Muzaini Exchange CoCashier/Customer Service Officer at Al Muzaini Exchange Co
RAZIA KHATHOON USMAN KHANRAZIA KHATHOON USMAN KHAN
Foreign Exchange Teller at AL MUZAINIForeign Exchange Teller at AL MUZAINI