YOGINI SHAH
Summary
Offering 18+ years of demonstrated career success with extensive experience in Banking vertical and Wealth Management. Champion in client servicing and client onboarding with a solid track record of dealing with Ultra HNIs
Highly-motivated employee with desire to take on new challenges. Strong work ethic, adaptability, and exceptional interpersonal skills. Enthusiastic client services professional with strong background directly interfacing with industry customers. Well-versed in products, services and consumer trends. Dependable achiever committed to holding highest ethical standards and maintaining customer trust.
Overview
24
24
years of professional experience
1
1
Certification
Work History
Client Onboarding Review Manager
CREDIT SUISSE AG
01.2022 - Current
- Managing, reviewing for clients, client onboarding, KYC documents review and managing control
- Provided leadership, insight and mentoring to newly hired employees and support staff to supply knowledge of various process and policies
- Have been instrumental in new projects that resulted in increased productivity and system enhancement , assisted with product rollouts, program implementations in within stipulated timelines.
- Created monthly reports for senior management summarizing new client onboarding and periodic reviews
- Ensured compliance with all applicable laws, regulations, industry standards.
- Established processes to ensure efficient workflow throughout account opening, periodic reviews and client KYC
- Analyzed new business performance data and forecasted business results for upper management.
- Resolved conflicts between RMs and various stakeholders by providing guidance on company policies and procedures.
- Collaborated with other departments to ensure timely completion of projects
- Collaborated with cross-functional team to define features and build powerful risk compliant systems.
- Implemented database and document processing compliance with applicable regulations and company policies targeted towards prevention of money laundering and unethical practices.
- Provide compliance approvals across all risk levels for all new client onboarding which includes source of wealth, source of funds KYC Identification, AML, Fatca, Client risk scoring, etc
- Ensure all high risk issues have been appropriately been identified , escalated and relevant approvals have been acquired- Tax compliance, sanctions, reputational risk, PEP , etc.
- Ensure all accounts approved satisfy the required standards in relation to Financial crime compliance and other regulatory requirements
- Adhering to local regulatory guidelines of RBI & prevention of Money Laundering Act
- Provide advisory support for onboarding of high risk or complex clients to ensure full compliance with procedures, policies and regulations
- Support India Wealth management business on client onboarding , matters pertaining to new regulations.
Assistant Relationship Manager
CREDIT SUISSE SECURITIES
05.2016 - 12.2021
- Delivered exceptionally well being tactical and hands-on with HNI and UHNIs
- Established strong client relationships to drive business development.
- Identified opportunities to improve customer service processes and procedures.
- Monitored competitive and marketplace trends impacting client satisfaction to keep ahead of developments and implement response plan.
- Collaborated with team members across multiple departments to achieve common goals.
- Streamlined account application processes to improve operational productivity and offer quality service.
- Facilitated communication between clients and other departments within the organization.
- Assisted in risk assessment and mitigation activities and promptly resolved service issues.
- Followed up on client leads, managed client applications and onboarded new clients.
- Provided leadership, insight and mentoring to newly hired employees to supply knowledge of various company policies.
- Coordinated with internal departments to ensure client needs were met in a timely manner.
- Remained calm and professional in stressful circumstances and effectively diffused tense situations.
- Implemented systems for tracking customer complaints and requests in order to resolve them quickly.
- Collaborated closely with marketing teams in order to develop effective campaigns targeted at potential customers.
- Reported complex client issues, questions and needs to management.
- Developed and maintained relationships with existing clients, as well as identified new opportunities for growth.
- Ensured adherence to company policies while providing excellent customer service standards.
- Promoted high customer satisfaction by resolving problems with knowledgeable and friendly service.
- Monitored customer accounts for changes or irregularities in activity.
- Performed data entry tasks associated with client transactions.
- Supported sales team members to drive growth and development.
Assistant Vice President
HSBC
06.2004 - 05.2016
- Providing high end financial services to clients
- Assisted with customer requests and answered questions to improve satisfaction.
- Coordinated activities between different teams within the organization in order to ensure efficient resolution of client queries.
- Implemented processes and procedures that improved the efficiency of the department.
- Enhanced productivity and customer service levels by anticipating needs and delivering outstanding support.
- Assisted customers with questions and resolution of issues to maintain high satisfaction ratings.
- Ensured compliance with applicable laws, regulations and company policies when dealing with customers.
- Presented existing and prospective customers with valuable service or product information to aid in decision-making.
- Developed relationships with key stakeholders within the organization in order to better understand their needs.
- Conferred with customers by telephone or in person to provide information about products or services and take orders.
- Engaged in conversation with customers to understand needs, resolve issues and answer product questions.
- Provided timely updates on status of requests and issues reported by customers.
- Promoted high customer satisfaction by resolving problems with knowledgeable and friendly service.
- Maintained up-to-date knowledge of company products and services to provide accurate information to customers.
- Improved product knowledge on continuous basis to provide optimal service
- Assisted customers with product inquiries, complaints and technical issues.
- Mentored junior team members and managed employee relationships.
- Recognized by management for providing exceptional customer service.
- Prioritized and organized tasks to efficiently accomplish service goals.
- Completed day-to-day duties accurately and efficiently.
- Maintained updated knowledge through continuing education and advanced training.
- Planned and coordinated risk mitigation strategies to protect company assets.
Branch Retail Executive
Kotak Mahindra Bank
06.2003 - 04.2004
- Negotiated contracts with suppliers regarding product availability, pricing, payment terms.
- Developed excellent rapport with custom builders to expand opportunities for growth.
- Collaborated with internal teams such as finance and logistics departments for smooth functioning of daily operations.
- Monitored customer feedback through surveys and social media channels to identify areas for improvement in service delivery standards.
- Promoted insurance and products to individuals and businesses and analyzed and determined financial viability and productivity of target products and services.
Article Clerk
A.R. Shah Co.
06.2000 - 01.2003
- Provided administrative support such as scheduling appointments or meetings.
- Organized and maintained filing systems for confidential documents.
- Analyzed balance sheets for mistakes and inaccuracies.
- Maximized tax refunds by striving to obtain taxable income, deductible expenses and allowance details.
- Audited financial statements and business operations to identify control deficiencies and operational challenges.
- Generated detailed reports summarizing audit results.
- Reviewed client documents to ensure accuracy and compliance with applicable laws and regulations.
- Assisted in the development of audit plans and strategies based on risk assessment procedures.
Education
Inter CA Group 1 - Chartered Accountant
Institute of Chartered Accountant of India
06-2001
BBA - Accounts & Commerce
Mumbai University
Mumbai04-2000
Skills
- Robust knowledge of prevalent economic/financial reforms in financial market with excellent communication, relationship management and analytical skills
- Client Relationship Management
- Networking
- Team work
- KYC review
- Client onboarding
- Managing Stakeholders expectations
- Client lifecycle management review
- Policy Implementation
- Business Development
- Customer Relationship Management (CRM)
- Time Management
- Staff Training and Development
- Complex Problem-Solving
- Verbal and Written Communication
- Cross-Functional Team Management
Certification
- NISM-Series-V-A: Mutual Fund Distributors Certification Examination
- NISM-Series-VII: Securities Operations and Risk Management Certification Examination
- NISM-Series-X-A: Investment Adviser (Level 1) Certification Examination
- Depository Operations Certification
Address
B-501, Smit Apartment,
Oghadbhai Lane,
Ghatkopar East
Mumbai 400077
Timeline
Client Onboarding Review Manager
CREDIT SUISSE AG
01.2022 - Current
Assistant Relationship Manager
CREDIT SUISSE SECURITIES
05.2016 - 12.2021
Assistant Vice President
HSBC
06.2004 - 05.2016
Branch Retail Executive
Kotak Mahindra Bank
06.2003 - 04.2004
Article Clerk
A.R. Shah Co.
06.2000 - 01.2003
Inter CA Group 1 - Chartered Accountant
Institute of Chartered Accountant of India
BBA - Accounts & Commerce
Mumbai University
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