Harsh Gaurav Email & Phone Number

Bengaluru, Karnataka, India

1) Implemented Global AML policies across HSBC’s Commercial Banking (CMB) including the Global Service Centers working closely with global stakeholders from the CMB’s Core Policy and Financial Crime Risk (FCR) teams. Played a key role in setting up a Global Screening team, helping it grow from 50 FTE to 250 FTE serving 15+ CMB markets.2) Provided direction and leadership to the CMB KYC & Risk Operations/Global Screening Teams on the interpretation of the Policy, ensuring consistent high-quality reviews, in addition to continuously fine tuning the workflow and testing out new methodologies to further enhance the process efficiency. 3) Helped plan, track and execute projects from concept phase to live operations.4) Created multiple policy document, based on the regulatory requirements, ensuring compliance with both the in-country regulations and the overall HSBC’s policies. 5) Experienced in leading and managing cross cultural teams (China, India and Poland) for 4 performance years.6) Global contact point for Policy related issues, before final escalation to the Commercial Banking’s Policy Head in HSBC’s London HQ. 7) Monitored changes in the risk appetite of the bank based on the data gained from the customer and systems and look at leveraging technology to automate or adopt better mitigation strategies.

Mumbai, Maharashtra, India

1) Set up the Customer Due Diligence (CDD) team for HSBC India and managed a team of 10 FTE. Ensured correct investigations performed by the teams and suspicious activity reports (SAR) were filed.2) Performed independent quality reviews on KYC/CDD files completed by team members to ensure compliance with AML/CFT and Sanctions program.3) Reported Risk and Compliance related Management Information with accuracy and on time, enabling the senior leadership in Compliance, Operations and Business to enable timely and informed decisions.4) Managed ‘New to Bank’ client onboarding and existing clients’ CDD process to defined Service Level Agreements (SLA), ensuring any risks to the timescales are escalated appropriately. 5) Liaised with the client to gather detailed client information and supporting documentation required to complete their Due Diligence profile including Financial Crime Risk Review (FCRR) and Know Your Customer (KYC).6) Optimized the development of the onboarding plan to ensured Customer Turnaround Times (TAT) were agreed, and the associated SLA’s were visible and managed with all involved parties.

Bangalore Urban, Karnataka, India

1) Traveled to Canada as part of the Migration Leadership Team. Conducted Gap analysis against the KYC Target Operating Model, suggested process improvements and played a key role in the process migration to Bangalore, India. 2) Oversaw migration and implementation of the KYC/CDD procedures for Bermuda and Canada by setting up teams, undertaking the user acceptance testing (UAT) and developing them in Bangalore. Bermuda team grew from 17 FTE to 76 FTE and Canada team from 14 FTE to 120 FTE, within a span of 1 year. 3) Ensured the agreed case samples of KYC/AML operation teams were audited in accordance with the standard operating procedures and timely feedback was recorded and reported.4) Generated and coordinated the preparation of metrics on errors and feedback. Identified, analyzed trends and submitted reports to the BRQA senior management.

Bangalore Urban, Karnataka, India

1) Organized, facilitated and delivered high quality and effective soft skill training, process training & leadership development interventions across Global Service Delivery sites in accordance with Global CDD Operating Unit objectives within the specified timelines.2) Identified and prioritized specialized content creation, delivery mode and effectiveness measures to enhance the training method.3) Formulated teaching outlines and determined instructional methods, such as individual training, group instruction, lectures, demonstrations, conferences, meetings, and workshops.4) Conducted coaching sessions to enhance the communication skills and personal effectiveness of the employees.5) Demonstrated ownership and logical approach to activities undertaken, working collaboratively with other trainers and team managers to ensure training conducted effectively as per the schedule.6) Drove and monitored the delivery of all learning solutions to ensure quality and standards are maintained at all times for all target level audiences.7)Monitored, recorded, and evaluated training activities and program effectiveness.

Bangalore Urban, Karnataka, India

1) Assisted Premier Retail Customers with Account Opening and their International Banking needs and managed complex concepts and extensive documentation, while maintaining the highest standards of audit and compliance requirements.2) Maintained highest standards of audit and compliance requirements.3) Established and maintained effective relationships with customers, business partners and identified areas of service improvements.

1) Reviewed the company’s financials and calculated key financial ratios to analyze the financial condition of the company to establish credibility and credit worthiness of potential customers.2) Prepared Canada Credit Governance Document for submission to Higher management on a monthly basis.3) Monitored, documented and updated the Canada Credit Policy.4) Consistent interaction with the Canadian team to share market info, performance parameters and best practices.5) Contributed significantly towards streamlining the Process/Training Manual. 6) Provided expertise on core processes/procedures and specific guidance or robust training to assigned associates.