COMPLIANCE OFFICER
AL MULLA GROUP
Total years of experience :18 years, 8 Months
“Certified Anti-Money Laundering Specialists” from ACAMS with 76%
Direct the development, operations and management of compliance programs
Identify and contain compliance risk with oversight for monitoring and reporting of suspicious Transactions to Kuwait Finance Intelligence Unit (KFIU).
Collaborate with management team to ensure departmental support and full understanding of compliance responsibility
Monitoring of Suspicious Transactions / Questionable Transactions.
Carrying out Investigation the transactions may be related to Money Laundering / Terrorist Financing.
Develop compliance audit programs and monitor teams that oversee operational audits.
Review data to find patterns of discrimination or misconduct.
Design, create and update compliance forms and AML/CFT policy documents.
Work with legal team to address existing compliance cases and form corrective action plans to eliminate similar incidents.
Coordinating for conducting AML/CFT Training programmes for all the staffs
Educate staff on compliance issues and procedures and providing guidance according to the situation
Responsible for obtaining Agreements / AML Documents from Correspondents.
Created new business opportunity for the bank
Handled the tasks of opening new saving accounts
Increased business through networking and building new client relationships
Assisted managers in identifying sales opportunities for the branch
Responsible for updating daily reports to the manager
Supervised and trained new employees
Maximized customer satisfaction with quality service
Ensured merchandized stock orders as per the norms of the bank
Handled the tasks of managing vault operations
Achieved sales targets by adopting innovative sales management techniques
Mainly responsible for looking after the administration and daily operations of the bank
Handling of AML_KYC of the various banks accounts
Responsible for approval and rejection of applications
Responsible of Network Related problems
Sold all financial bank products, such as insurance's, mutual funds, savings and loans (private and real estate) to private clients.
Responsible for handling cash payments and receipts
Handled Travel currency cards
Handled loan against deposit, Gold loans, and fixed deposits.
Responsible for helping in merchandising
Promote Bank’s vision and values on a daily basis
Ensure entire banking center is in compliance with all applicable laws, regulations, bank policies and procedures
CURRENT EMPLOYER: AXIS BANK LTD
Department: Branch - OPERATIONS
Duration: July 2009 to till date
2. PREVIOUS EMPLOYER: SBI LIFE INSURANCE CO LTD
Duration:: Dec 2007 to Oct 2008
Designation: Associate
Department: Operations - PROCESSING / Policy Servicing
Reporting to: Deputy Manager
Profile: Accounting of Renewal premium, Servicing to Customers.
Job Responsibilities: • Cashiering Process of all the renewal premium instruments received on same day of receipt.
• Tallying renewal instruments with daily cash inward & Banking report and returning of unaccountable instruments to State Bank of India Branches / Customers, if any on same day with suitable reply.
• 100% usage of portal, error free cashiering and taking care of Change of Address, Switch Funds and Reviving the policies.
• Generating Renewal Premium Receipts, Premium Paid Cerficate, Fund Value Statement and Accounts Statement.
• Raising CRF and cancelling the cashier entries, Updation of PS MIS & circulars & Maintaining Stamps Register, CRF register & Complaint Register.
• Coordinating with Head office relating to any Policy Servicing activities (E.C.S., Online Payment, Change in Nomination, Correction in Name, Renewal premium cashiering, Cancellation Request etc., )
• Co-ordinating with S.B.I. Branches / Customers / Insurance Advisors / Certified Insurance Facilitator for any queries relating the insurance policies.
3. PREVIOUS EMPLOYER: Shriram Group of Companies
DURATION: 2 Yrs & 2 Months.
Company Name: Richard Strauss Insurance Broking Pvt.Ltd,
Duration: April 2007 - Nov 2007
Designation: Assistant Executive.
Company Name: Shriram Transport Finance Company Limited
Duration: September 2005 - March 2007
Designation: Admin. Trainee / Junior Executive.
Nature of Job: Department: Operations - Underwriting.
Reporting to: Senior Manager.
Profile: Handling Commercial Vehicle's Insurance Policy Renewals for Tamil Nadu region.
Job Responsibilities: • Preparing monthly renewals check list report and forwarding to our branches, collecting the insurance policy renewal documents from our branches and arranging those documents according to the respective policy expiry date.
• Keying the requested fields (Insured Details, Vehicle Details, Driver Details, Previous year policy details, H.P. Details etc., ) in Insurance Online Server and valuating the market price with the updated Vehicle price master and issuing the Insurance policies.
• Acting as a co-ordinator for Iffco Tokio General Insurance Co., Ltd., Bajaj Allianz General Insurance Co., Ltd., and Reliance General Insurance.
• Co-ordinating with our 45 Shriram Branches in Tamil Nadu region for any complaints / queries pertaining to underwriting.
• Handling more than 2, 000 renewals of live agreement per month with two subordinates and preparing monthly premium report and Commission report.
• Having good relationship with customers by giving prompt service to them.
CERTIFIED ANTI MONEY LAUNDERING SPECIALIST
❖ M.B.A FINANCE. First Class (62%) - Dec 2008. Madras University (I.D.E.), Chepauk, Chennai. ❖ BACHERLOR OF COMMERCE
First Class (69%) - April 2005 D.G.Vaishnav College, Arumbakkam, Chennai-106. ❖ H.S.C. Exam (+2) First Class (89%) - April 2002 E.M.M.H.S.S., Ambattur, Chennai 53. ❖ Matric Exam (10th)