Manager
National Stock Exchange of Indi
مجموع سنوات الخبرة :10 years, 5 أشهر
Membership Service Dept
Verifying broking firms documents for KYC authentication registration license
Co-ordination with senior management to ensure smooth deployment of new KYC processes
Creating SOP for the BAU activities
Compliance
First Line of Defense (FLDS), Private Banking APAC (PB APAC)
Email Monitoring for any potential Client Data Confidentiality breach or external circulation of bank information.
Voice Log Monitoring - Reviewing voice logs to ensure that the Relationship Managers (RM) had authorized instructions
and then executed the trades.
Surcharge Monitoring- Reviewing the trades executed by RMs on a weekly basis to ensure that the commission charged is
as per the policies set in the Schedule of Charges (SOC) of the Bank. For excess fees over and above that which has been
agreed upon, informing the RMs to provide justification for the surcharge and initiate a refund
Anti-Money Laundering, Financial Crimes Compliance
Responding to Regulatory Enquiries and Intelligence Exchange queries from regulators and law enforcement agencies
pertaining to global clients.
Suspicious Transaction Reporting: Investigating the transaction patterns in the account for any suspicious activities.
Highlight the suspicious alerts to the MLRO for further investigation.
, Anti-Money Laundering, Legal and Compliance
Corporate Accounts Payable - Global Finance Operations
Member of Association of Certified Anti-Money Laundering Specialists (ACAMS
(
courses: Former Assistant Dance Choreographer
Bachelor of Commerce - First Class
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