موداسار شايك

Acting as a internal auditor for various clients in the banking sector.
• Experienced in managing card operations, overseeing collection and
recovery processes, (Auto Lease) handling retail asset management,
and conducting Anti-money laundering audits (AML Investigation,
Sanctions, Compliance (SAMA) Inquiry and AML reporting units within
the banking sector
• Work effectively as a team member, sharing responsibility, providing
support, maintaining communication and updating senior team
members on progress.
• Develop and maintain productive working relationships with client
personnel.
• Crafting the Audit Planning Memorandum, ensuring coverage of
regulatory and internal policy risks
• Developing the Risk Control Matrix based on the assigned processes.
• Carrying out fieldwork, managing resources, and preparing working
papers.
• Engaging in discussions with the auditee regarding key and highlighted
issues.
• Coordinated with the client, collected information, and conducted the
tests according to the audit steps identified in the audit program,
conducted some research on best practices in collection and recovery
process and identified some value-added observations.
• Assist with presenting findings to client
• Mapping of processes to understand risks and controls implemented
for developing a comprehensive internal audit program.
• Ensure timely follow up of highlighted issues after release of report and
its closure in well-coordinated manner.
• Monitoring/tracking of outstanding issues and ensure timely closure.
• Support the planning, leading fieldwork, managing performance, and
keeping engagement leaders updated on audit engagements.
• Following up on the rectification of highlighted issues
• Managing clients on behalf of Axiom
• On Hands Experience of Wolter Kluwer Teammates.

Oversee the operational audits of branches in accordance with the
bank's internal policies and regulatory requirements.
• Handle management and administrative matters related to branches
within the region.
• Under the auspices of the Project Manager, maintains the fixed assets
and minor furniture equipment, inventory including additions,
deletions, retirements, sold items, items sent for repairs and
unaccounted for items.
• Coordinates the annual physical inventory conducted at each location
throughout the district.
• Assists district personnel in their accounting of their fixed assets by
means of annual inventories.
• Monitors all fixed and capital assets, this includes barcoding all
furniture, audio-visual equipment, safety equipment, operating
machines etc.
• Maintains physical and computerized files for the department.
• Assigns barcodes to fixed assets at the District Warehouse, campus as
applicable.
• Conducts periodic audits to verify accuracy of inventories.
• Take dictation minutes and accurately enter data.
• Assist colleagues whenever necessary.
• Acting as the administrative point of contact between the executives
and internal/external clients
• Ensure the preparation of the working paper file for archiving.

Maintains physical and computerized files for the department.
• Assigns barcodes to fixed assets at the District Warehouse, campus as
applicable.
• Conducts periodic audits to verify accuracy of inventories.
.
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• Take dictation and minutes and accurately enter data.
• Assist colleagues whenever necessary.
• Acting as the administrative point of contact between the executives
and internal/external clients
• Ensure the preparation of the working paper file for archiving.

Process Synopsis:
Tata Consultancy Services Ltd: 2year 9Months (From Feb 2016 to Sec 2018)
Process: Consumer Banking
Role: KYC Analyst
Citi Bank NAM CBSU process which provides KYC support to the bank clients in order to reduce the risk involve by monitoring the transactions and verifying the information provided and by checking the negative news against the client.
Responsibilities:
 Joined as a KYC analyst and moved to Quality checker for KYC AML(CBSU), pilot batch for the KYC Citi bank- Central Business Support Unit(CBSU)
 Used applications like Citi KYC, Concierge, Lexis Nexis, Eclipse, Factiva, On-demand, Business object, Stars, filenet, AML Screening, D&B.
 Worked as a KYC analyst, KYC-QC for CBSU.
 Types of scenarios- Individual & Entity(Companies)Closure, Out of Scope, Rescinds, Outreach
 Citi bank clients full KYC and AML review/ rectification
 Work flow- Client identification and verification, Client Profile, Members like Power of Attorney for the client’s accounts, AML screening whether our client fall under illegal activities, Product Profile for Customers accounts review and Transaction monitoring.
 Ensuring compliance with all AML laws, regulation, guidelines, written procedures; OFAC, CIP, KYC, Customer/transaction monitoring.
 Checking all the required documents for different entity types such as Control packet, Site Visit, Formation documents, Tax proofs, verifying correct NAICS code depending on nature of business &checking the customer Due Diligence(CDD)
 As a Quality checker, we need to check the process completed by the analyst from end to end.
 Any discrepancies, mismatch or incomplete information in any criteria will be marked down as error to that particular analyst
 We use QC forms to fill the comments, feedbacks, Pass/Fail or observations about the cases
 Any challenges done by the analyst against the QC will be reviewed again and if accepted QC is responsible for the particular case.

CTS (Cognizant Technology Solutions): 1 years 9 Months (From Jan 2014 to Oct 2015)
Process: Financial Services Analytics (FSA)
KYC Analyst: from Jan 2014 to Jan 2015
 Investors Banking Process which manages the KYC documentation work which help to Conduct Ongoing Monitoring to maintain and update customer Information and to identify Analyst and report suspicious transactions.
Responsibilities:
 Practicing the periodic review of the clients as per the policies of KYC.
 Identifying& Verifying the Identity of the customers
 Identifying& Verifying the Beneficial owners of Legal Entities (i.e. LLC, INC, Formal Organizations
Partnerships, NGO, Government, Attorney, Sole proprietor)
 Performing the client due diligence through risk based approach.
 Understand the Nature and Purpose of customer relationships.
 Complete analysis of transactional information to identity risk, trends and Potential wary activity.
 If any discrepancy retrieve to the branch and suggest the branch to resolve

Risk Analyst: From Feb 2014 to Oct 2015
This process manages the Risk and Compliance activities and internal audit/testing of GE Commercial Finance (Equipment, Commercial & Health Care etc.). Under Internal Audits/Testing and Control in Compliance to various GE, State, Local and Federal policies pertaining to lease/loan funding is monitored. Any inconsistency found is reported to the client to help them mitigate the risk effectively.
Responsibilities:
 Handling multiple processes i.e. Rebooks, Post booking and Funding, and Mini Audits.
 Verify the invoice and Purchase order, agreement detail though Siebel.
 The deals are then classified as Defects and No Defects, where deals identified as Defects are sent back to client for further clarification.
 GE pre-auditors will analyze the risk segments for lease & loan accounts while funding the loan amount,
 hence reducing the overall risk associated with the deal.
 Preparing Process SOPs and updating the same as per business need.
 Sampling the scrubbed data to obtain final sample that represents the total population.
 Obtaining the sample from the large data using statistical Calculator & preparing upload templates on Daily, weekly and Monthly Basis based upon the process.
 Preparing the dashboard for monthly basis and send it to clients once confirm from the business then we publish the dashboard.
 To prepare Summarize report for the monthly basis for the better understanding of the business.