Riya Dey

Conduct corporate KYC onboarding and periodic reviews, ensuring
compliance with AML regulations.
Perform risk assessments, compliance audits, and control effectiveness
reviews.
Handle CDD, EDD, and CIP processes, ensuring regulatory adherence.
Review high-risk transactions and escalate suspicious activities.
Develop and enhance compliance policies and internal controls.
Use tools such as LexisNexis, World-Check, and Oracle Watchlist Screening
Support AML investigations and regulatory reporting.

June 2022-May 2024
Handled KYC onboarding for UK-based financial institution clients.
Conducted CDD, EDD, and PEP screening for corporate entities and UBOs.
Verified corporate documentation (MOA, AOA, incorporation certificates).
Managed onboarding exceptions and compliance escalations.
Maintained accurate client records and compliance documentation.
Supported insurance claims processing and tracking.
Contributed to quality assurance and process improvement initiatives.
Deputy Manager - Operations & Compliance
ICICI

📅 March 2021 - June 2022
Managed compliance reporting and audit trails for high-value corporate
accounts.
Monitored transactions to identify unusual or suspicious activities.
Ensured compliance with RBI regulations and internal policies.
Collaborated with internal teams to resolve compliance discrepancies.
Strengthened risk mitigation processes and audit readiness.