Sumanta Mukherjee

• Led global AML/KYC remediation initiatives arising from regulatory reviews and audit findings.
• Owned end-to-end remediation delivery, including planning, governance cadence, risk tracking,
and senior stakeholder reporting.
• Partnered with Compliance, Operations, Business, Technology, Audit, and external vendors to
ensure timely closure of regulatory commitments.
• Identified and implemented process and control enhancements to improve efficiency and
sustainability post-remediation.
◦ Conducted regular governance and steering committee updates, escalating risks and
dependencies proactively.
◦ Supported audit, compliance reviews, and management information reporting.
◦ Delivered remediation outcomes across multiple business lines and jurisdictions,
ensuring alignment with regulatory commitments and audit timelines.

• Led KYC middle office activities supporting client onboarding, periodic reviews, and
remediation across four jurisdictions.
• Managed a team of analysts and acted as single point of contact for external clients and
internal stakeholders (Front Office, Compliance, QC, Operations).
• Ensured KYC files met local regulatory requirements and global AML standards,
managing exceptions and complex cases.
• Supported regulatory remediation programs, control testing outcomes, and audit responses.
• Maintained strong client relationships while balancing regulatory rigor, turnaround times, and
risk management expectations.
• Provided governance support through reporting, issue tracking, and escalation management.
• Supported KYC coverage for high-risk and institutional client segments, including
complex ownership structures and cross-border exposure.

• Performed independent quality assurance reviews on KYC files to ensure regulatory and
policy compliance.
• Identified systemic gaps and drove process improvements to enhance quality and consistency.
• Provided guidance on PEP classification, adverse media assessment, risk rating decisions, and
EDD requirements.
• Acted as escalation point for complex cases, working closely with Compliance and Business
teams.

• Conducted CDD and EDD reviews for corporate and individual clients.
• Analysed ownership structures, corporate documents, and risk indicators.
• Supported periodic reviews and regulatory reporting requirements.
• Trained and mentored new joiners, contributing to team capability building.