Arjun Sangwan Email & Phone Number

Birmingham, Gb

Primary duties: Supporting the remediation project by conducting comprehensive and robust quality checking on the work completed by KYC Analysts in capacity of QC and on peer QCs in capacity of QA within the Customer Due Diligence (CDD) function.• Leadership: Stepped in as Deputy Team Leader for a team of 6-8 QCs in absence off assigned Team Leader to manage daily tasks like running daily team calls and cascading the message from senior management, allocating work, collating and reporting daily production and MI to senior management, resolving daily issues for QCs, etc.• SME/ Training: During the inception of a new team of QCs, as an experienced member, assigned to run training workshops like case walkthroughs, systems familiarization and operation, etc. Also, act as a go to person to resolve any queries within the team. • Process Management: On request of H.O.D of Quality Control, being close to the process, helped in inception of processes of new cohorts/streams of work. Also, assisted in improving the Quality Control process by preparing guides for QCs to follow. • Policy/ Document writing: Created user guide for one of our main systems, “EDD tool” where analysts provide their assessments to scripted questions of a KYC file template and QCs provide their feedback notes. Also, assisted in developing the QC feedback framework to help standardize feedback notes provided by QCs. • Quality Assurance: Lead the QA function under supervision of my Team Leader. Held QA calibration calls where other QA analysts present/discuss their findings and ensure that their feedback is aligned with policy, prior to communicating it to QCs. Compiled and liaised feedback emails, appeals and escalations on behalf of other QA analysts. Created a central tracker for QA which had a dashboard with charts that would provide a live update on progress made by QA analysts on cases in review or completed.

Birmingham, England, United Kingdom

Act as a subject matter expert for the team on Financial Crime, KYC/AML and CDD by exhibiting strong knowledge of the bank’s Key Operating Procedures and resolving queries. Also, during the inception of a new team of QCs, as an experienced member, assigned to run training workshops like case walkthroughs, systems familiarization and operation, etc. Also, act as a go to person to resolve any queries within the team.

Birmingham, England, United Kingdom

Effected and supported this project, on request of senior management, on the Account Activity Review piece in the due diligence process for Regular Reviews. The project included performing audit to ensure comprehensive Account Activity Review provided by Relationship Managers on existing clients, attributable to the intricacy around products issued, purpose of client’s relationship with the bank, transactional activity record, reason to continue the relationship, etc. In light of BaFin (German regulator) audit, this project is one of the primary focus and is conducted on a global scale. My role in the project entailed design and process improvement, supporting Relationship managers, communicating MI to senior management, performing reviews in both QA and QC capacity, etc.

Birmingham, United Kingdom

A range of functional and line management responsibilities covering Quality Measures, People Management, Performance Management, Communication and Operational Risk for Periodic Reviews and Remediation. • Provide leadership and direction to a team 10 QC analysts and associates, set conditions and manage the team’s resources in order to optimize departmental services for maximum fulfillment of (internal and external) client needs within determined strategy and budget.• Interpreting regulatory compliance and policy changes and communicating their implications to the team and incorporating the impact within laid down procedures. • Maintain strong Investment Banking products knowledge.• Build strong partnership across DB group - Global teams and key business partners, business support groups, peers and other lines of businesses.•Maintain strict discipline and rigor around error tracking, analysis, feedback, knowledge management, training, updating of operating procedures.• Inculcate absolute adherence to the business and firm wide Risk/Controls agenda, work closely with the Risk team for periodic assessments of risks & controls and timely closure of identified control issues. • Identify opportunities to optimise capacity and increase efficiencies. Propagate DB's KYC/ AML and ref data policies and procedures as well as systems and technology used to record the information and documents.Project Lead : Currently leading a files cleansing project, a QA exercise to scrub remediation files to prepare them for Regulator (BaFin) audit expected next year. Trained and now managing a team of 18 associates and analysts that are testing files on common fail attributes and working in tandem with remediating stakeholders to repair and prep files for the regulators next year.

Birmingham, United Kingdom

• Represented Global QA function to BaFin Regulators (Financial Regulatory Authority of Germany) in Luxembourg. • Project Lead ( Managed a team of 2) - Undertook following travel assignments representing QA, DB and effected projects with the key goal of driving consistency and accuracy in KYC operations, o Deutsche Bank, Luxembourg o Equiniti, Amsterdam, Netherlandso Accenture, Newcastle, England o PWC, Belfast, Northern Ireland• Managed internal and external stakeholder relationships with DB Client onboarding teams and vendors (Accenture, PwC and Equiniti)• Work Package Lead - For QA files across multiple business lines and client risks. Work Packages are a sample of files shortlisted from the entire population of KYC files completed by client onboarding team in a given period. This sample is evaluated by QA and the feedback is given to Client Onboarding and the results (MI) is provided to the senior management. Work Packages are generally led by QA team leaders (Assistant Vice Presidents), however with constant demonstration of strong knowledge and ability was given the responsibility by the Regional Lead (Vice President) to lead work packages. • Being a Work Package Lead, assigned work allocations to other QA analysts in the team.• Led feedback calls to COB (client onboarding team), produced MI every month for senior management and met severe deadlines at the end of the month on various related tasks. • Exhibited good understanding and strong adherence to the Target Operating Model (TOM). • Trained new joiners.• Acted as a Subject Matter Expert for the Regional Lead.

Birmingham, United Kingdom

With the main function of the job is to support the Head of KYC RCRM in driving quality risk management and assurance. The following are the duties and responsibilities of the role.• Ensure Risk and Control Self Assessments (RCSAs) are completed in line with plan.• Ensure Risk and Control MI is consistently and accurately reported within, and externally from, the Internal Control team• Demonstrate good knowledge and understanding of relevant legislation – Anti-Money Laundering, Data Protection, Financial Services Act, Health & Safety Act, Banking Code, GISC, etc and ensure Financial Crime risks are understood, mitigated and controlled.• Promote a greater understanding of risk management and assurance in order to embed a risk aware culture• Provide expert guidance, support, oversight and independent challenge through effective working relationships and stakeholder management to ensure that business management are in control of its Risk & Control activities• Proactively engage with stakeholders of all levels including Director and Managing Director level to provide assistance during all stages of the RCSA process.• Manage and drive the progress of all RCSA Actions to ensure due dates are met with the appropriate level of assurance to ensure the Design and Operational Effectiveness of the controls and challenge back to the Business where necessary. • To manage the development and maintenance of an effective control framework in that prevents value being destroyed and ensures that control failures are mitigated in a timely manner• Take on management and day to day responsibilities for Risk assessment, Risk event monitoring, Policy Management, Reporting & Governance and Independent control testing requirements.• Provide support to the Business during BIA visits, including producing Audit Closure packs to close any Observations.• Other RCSA - Automation / Customer Journey – The goal here is to automate certain functions of the Onboarding process.

London, United Kingdom

Undertaking due diligence verification on the full range of large corporations and mid market enterprises trading globally, including UK and overseas companies, trusts, various categories of partnerships and regulated entities. Dealing with intricate company structure’s and varying share types.Assist in Leverage transactions by performing KYC to facilitate syndicated bank loans for varoius purposes like re-financing large debts, Initial Public Offering process, etcReview and update Customer Due Diligence ("KYC") records for Corporate Banking customers.Unravelling complex corporate structures, including Funds, Trusts, Foundations and Overseas Jurisdictions to uncover true Beneficial Owners.Knowledge and awareness of Money Laundering and Sanctions risks and the role of KYC in the management of those risks.Building detailed customer profiles using internet searches and web based resources.Identify and special attention to PEPs (politically exposed person), SCCs ( Special Category Client), etcUnderstanding and application of a risk based approach to KYC including application of Enhance Due Diligence to higher risk customers (e.g. PEPs & SCC)Referral to the JMLSG Industry Guidance where appropriate.Effective communication of detailed and complex requirements to Relationship Management Teams.Facilitating effective dialogue with customers and helping to explain regulatory and risk implications.Close liasion and develop strong working relationship with compliance, the client and other stakeholders involved in onboarding process.Effective working knowledge of the UK Money Laundering and Sanctions regulatory framework.Multi-tasking requiring time management and a clear understanding of how to prioritise tasks within a reasonable time frame.Testing and implementing new KYC Periodic Review Process within team.Training new team members.An authorised signatoryCurrent Project : Performing audit checks on previous corporate client applications compiled by onboarders.

London, United Kingdom

Add on from previous role : Leading and training junior subordinatesMore responsibility especially relating to client interactions.Project Handling, etc

Responsible for various admin processes relating to guarantees & trade product and also provide query resolutions for clients as well as Relationship Managers. • Whilst issuing of SBLC & bank guarantees maintain strong knowledge of relating products & processes in order to confidently explain & guide clients.• Also proactively aid RMs with various processes and information.• Liaise with issue team (account opening team) & other departments when necessary in order to provide vital information, estimated timescales & documentation needed (supply and receive forms , copies of guarantees, etc) for clients and also to complete various processes timely.• Actively resolve queries/complaints from clients and RMs on telephone and tactfully pacify there worries.• General client.• Accurately charge clients for availing our services by inputting precisely & carefully in the system and process payments to corresponding banks when involved. Also deal with transactional queries from clients & RMs regarding the same via similar channels as mentioned above. Proficient in systems used by HSBC relevant to my role.• Monitor processes for queries made earlier by RMs and clients in order to ensure timely completion & keep both informed promptly through the entire workflow.• Complete transactional letters & invoices and send them out to customers regarding transactions made on their accounts.• Complete required relevant internal courses and tests and always open & enthusiastic to learn different functions in the department.

London, United Kingdom

With the key goal of genuinely looking after clients, developing a relationship of trust & providing excellent personalized service the following are major tasks of my current role,• In client meetings, demonstrate extreme professionalism in order to achieve a strong level of trust & develop relationship with high net worth clients.• Tactfully obtain and reveal information about their wealth resources through conversations & offer them right and effective solutions to manage their wealth better.• Extreme care in regards to confidentiality while dealing with high net worth clients and regular customers as well.• Open conversations with high-end clientele about investments and other financial planning products and arrange joint & sole meetings with financial planning advisor & offshore wealth planning advisor.• Also, identifying opportunities for Wealth Management services (HSBC Premier & Private Banking) and assigning a relationship manager to the client.• Conduct financial review with clients, discuss and suggest the right financial products tailored to the personal needs of the client.• Transparency while promoting and discussing financial products.(Lending products, Insurance, Mortgages, Retirement, Savings, Tax & Offshore).• Maintaining up to date strong product knowledge and bank’s procedures and thereby confidently presenting the product or dealing with queries and assisting the client effectively.• Liaising with other departments in terms of sold financial products, payment services, insurance, paper work and resolving client’s complex queries.• Dealing with customer complaints with extreme care if any.• Networking through existing clients, maintaining their profiles, ensuring up to date details in them and constantly keeping in touch • Thorough understanding and strictly adhering to the bank’s and FSA’s regulatory requirements & procedures as in data protection, money laundering and experience in the detection of fraudulent activity.

• Plan and Forecast hotel revenue for rooms.• Assist in strategy formulation for the unit, in order to achieve a greater market share.• Develop & Implement the annual plan, linking the department’s objectives to the unit’s overall strategy.• Implement sales & marketing plans/programs for the unit to ensure customer loyalty and maximum revenue.• Develop a means by which to continuously measure the program effectiveness as well as to track the trends in local marketplace and beyond, which would impact demand for the hotel.• Build an accurate and effective database of current and potential guests/accounts.• Develop a comprehensive market mix guideline and ensure sales as per those targets.• Identify key customer needs through formal research, survey, sales calls & meetings.• Implement revenue management techniques and ensure improved RevPAR.• Co-ordinate with the Credits Manager on credit limits and outstanding from various guests/corporate.• Build relationships, network & maintain regular contacts with corporate and individual customers, bookers, media, hoteliers and socialites.• Be informed about the trends in hospitality, changing customer needs and behaviour, and developments in other industries.• Identify key communities, plan various initiatives and co-ordinate the support activities.

Front Office (All operations are in French)• Assisted the manager in forecasting trends in occupancy, budget for room sales, average rate and other revenue.• Observed to develop and implement strategies to achieve a larger market share and attract new segments.• Observed systems and procedures that achieve higher cost efficiency and guest satisfaction.• Assisted in developing & implementing the annual plan using the IDPMS framework, linking the department’s objectives to the unit’s overall strategy.• Assisted in developing and implementing strategies for optimization of sale of rooms inventory and maximization of Average room rate.• Assisted in monitoring daily performance and manage revenue through revenue and yield management techniques.• Ensure through regular monitoring and constant guest feedback, prompt, efficient and accurate service to all guests.• Acquired knowledge along with assisting on how to review the monthly business reports and analyze market and occupancy trends & also monitoring the competing hotels in terms of new accounts and rates.• Performed all the operational tasks in accordance to standards set for all the equipments & processes.• Worked in association with the Exec Housekeeper for effective rooms management.Work closely with the Sales and Marketing department in the area of promotions, special packages, corporate discounts, new accounts etc.• Followed the front office manager in maintaining regular contacts with corporate and individual customers, and build strong relationships with them.• Gained current knowledge about local, national and international best practices/trends in accommodations management.• Assisted in identifying key communities, plan various initiatives and co-ordinate the support activities.• Assisting in monitoring departmental costs to ensure performance against budget. • The ability to display a high degree of professionalism and integrity as befitting a member of management.

• Primary responsibility included ensuring safety regulation on airplane. Ensured procedures for flight and passenger safety were followed.• Taking care of passenger comfort during flights.• Supervising junior flight attendants and crew during the course of flight• Pacifying and handling customers' complaints while working on a senior position in-flight.• Underwent extensive training in First Aid in order to treat possible medical emergencies.• All above listed procedures were carried out in a team and under severe time deadline pressure. • Completed trainings and certification courses on Impression Management.• Have been awarded a certificate from AVSAC, INDIA regarding security

• Demonstrated proficiency in core Front Office Administrative functions in a multi-lingual environment with primarily French as the preferred language.• Also, gained and established skills in working in the Food & Beverage service department having practical experience in hotel dining rooms as a member of the wait staff or as a host. Bartending at a limited scale. Was involved in purchasing and receiving of stock.• House-Keeping and Kitchen on-hand experience.

Master Of Business Administration - Mba, Hospitality Administration/Management, Assez Bien

Mba, Hospitality & Tourism

Institut Vatel, International Business School, Nimes, France

Bachelor Of Science - Bs, Hotel/Motel Administration/Management

Bsc. In Hotel Management, Hospitality