YASH SHIVKAR
Quality Assurance Associate at Morgan Stanley
Mumbai
Summary
Results-driven Digital KYC Analyst with a strong focus on anti-money laundering and counter-terrorism financing compliance within the financial services sector. Proven ability to conduct thorough customer due diligence and risk assessments, ensuring adherence to regulatory standards. Recognized for exceptional accuracy and meticulous attention to detail, consistently delivering high-quality work that mitigates risk and enhances organizational integrity. Committed to leveraging analytical skills and industry knowledge to support effective compliance strategies and foster a secure financial environment.
Overview
4
4
years of professional experience
6
6
Certifications
3
3
Languages
Work History
Quality Assurance Associate - GFC
Morgan Stanley
07.2024 - Current
- Working in the Global Financial Crime (GFC) Quality Assurance (QA) Team performs manual reviews of financial crimes-related monitoring activities and selects KYC activities (e.g., Enhanced Due Diligence for high-risk clients) on an ongoing basis to assess quality and consistency in the disposition of alerts.
- Reviewing completed work items and completing analysis sheets containing procedural and analytical questions regarding the disposition of those items for the monitoring activities assigned.
- Determining whether the disposition of the work item demonstrates an understanding of the work item, and appropriately addresses the material risk.
- Determining whether the decision to close the work item or to escalate it to the next level of review was appropriate.
- Documenting the GFC QA review process and results, and providing as-needed support and guidance to other GFC QA analysts in the assigned area of expertise.
- Supporting QA management in efforts to enhance consistency in the performance of GFC activities across processes, business lines, and regions.
- Supporting QA management as needed during regulatory examinations and internal audits.
- Collaborated with team members to streamline workflow and improve overall process efficiency.
AML Compliance Analyst
Interactive Brokers
10.2022 - 07.2024
- Reviewed negative news screening in the compliance department on the alerts generated from World-Check news, risk-based decision-making, and due diligence on clients, while maintaining high productivity and quality.
- Client Enhance Due Diligence (EDD), Politically Exposed Person (PEP), and sanction reviews. Performed enhanced due diligence on entities and individuals with the help of the World-Check tool.
- Reviewed client documents for account approvals and inquiries.
- Obtain mandatory documents and reports as per KYC requirements.
- Perform necessary checks (third parties, regulatory websites, etc.).
- Investigating the factual and regulatory rule background behind client trading and financial activity.
AML Compliance Analyst (Global KYC Analyst)
Wipro
08.2021 - 10.2022
- Analyzing and handling documentation, evaluating high-risk accounts, reviewing all information and documentation, and ensuring compliance with regulations and Citi standards.
- Interaction with RM/Client Owners for all Risk-type clients (high, medium, low) and different jurisdictions of the EMEA and United States region.
- Performed enhanced due diligence on entities with the help of internal sources, and also via LexisNexis and Dun & Bradstreet.
- Effectively used database research, which includes corporate registries and company websites. Stock exchange website, and third-party sources, to perform research on corporate clients.
- Internal quality check of the records.
Education
Master in Management Studies - Finance
Guru Nanak Institute of Management Studies
Mumbai01.2020
Bachelor of Commerce -
SIES College of Commerce And Economics
Mumbai01.2016
H.S.C. - Commerce
SIES College of Commerce And Economics
Mumbai01.2013
S.S.C. -
Don Bosco
Mumbai01.2011
Skills
Process optimization
Effective team engagement
Data-driven decision making
Quality management
Risk assessment
Compliance management
Team collaboration
Analytical problem-solving
Quality assessment expertise
Detailed due diligence
Investment Banking
Sanctions compliance screening
Academic Details
- Imarticus Learning (2020-2021)
- Certified Investment banking operations professional
- Financial Analysis Prodegree in collaboration with KPMG
- Graphic Designing (2016-2018)
- Arena animation, Freelancing Adobe (photoshop, Illustrator), Video editing(Adobe premier, filmora)
Accomplishments
- Used Microsoft Excel to develop inventory tracking spreadsheets.
- Superstar Award & Shine-Star award from Wipro.
- Volunteered in events such as college Convocation ceremony, Annual HR meet, Finance Conclave, Intra institute of cultural event.
- First prize in Business selling in intra-institute management event.
- College Live project which was telecast on tv channel.
Certification
Orientation Programme by Western Regional Office of the ICAI.
Guitar
Completed Guitar Beginner course from Fiction Production Studio
Timeline
Quality Assurance Associate - GFC
Morgan Stanley
07.2024 - Current
AML Compliance Analyst
Interactive Brokers
10.2022 - 07.2024
AML Compliance Analyst (Global KYC Analyst)
Wipro
08.2021 - 10.2022
Master in Management Studies - Finance
Guru Nanak Institute of Management Studies
Bachelor of Commerce -
SIES College of Commerce And Economics
H.S.C. - Commerce
SIES College of Commerce And Economics
S.S.C. -
Don Bosco
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