• Identifying, assessing, and monitoring high-risk customers to mitigate financial crime risks such as money laundering, fraud, and terrorist financing.• Screen customers against various watchlists, including those related to sanctions, politically exposed persons (PEPs), and adverse media.• Conduct detailed CDD and EDD on high-risk customers during the onboarding process and periodically thereafter.• Collect and verify customer information, including complex ownership structures, source of funds, Source of wealth and nature of business.• Continuously monitor high-risk customer transactions and activities for unusual or suspicious behaviour.• Assess and categorize customers based on their risk profiles using established criteria and risk assessment tools.• Prepare and file Suspicious Activity Reports (SARs) and Defence against money Laundering (DAML) in accordance with regulatory requirements. • Prepare regular and ad-hoc reports on high-risk customer activities including recommendations for further action to senior management and regulatory bodies.• Provide training and support to other staff on procedures and regulatory requirements.• Stay informed about emerging threats, regulatory changes, and best practices in managing high-risk customers.

Transaction/ Payments Monitoring• Monitoring financial transactions to detect and prevent suspicious activities such as money laundering, fraud, and other financial crimes• Risk and control: To ensure that all activities and duties are carried out in full compliance with regulatory requirement, enterprise-wide risk management framework and policy standards. • Performing regular and consistent AML (Anti Money Laundering) and sanctions checks on diverse range of payments like Trade Finance, Retail Banking, Investment Banking, Wealth payments (UK and US), JPMC (JP Morgan) and Swift payments.• Performing investigation on Sanction concern - Comprehensive country Sanctions, Sectoral Sanctions, List based Sanctions, per guidelines by OFAC, UKHMT, EU and UN. • Analyze large volumes of transaction data to identify trends, patterns, and anomalies and Use data analysis tools and techniques to support investigations and enhance monitoring capabilities.• Assist in conducting risk assessments to identify potential areas of vulnerability in the transaction monitoring process and recommend improvements and enhancements to the systems and controls.Customers/ PEP’s Screening – • Responsible for new and existing customers screening on different Queues (Sanctions, Prohibitions, AML, Vendors and PEP).• Investigate and escalate monitoring alerts and queries• Carrying out client due diligence using a wide range of databases and search facilities to identify PEP and sanctions (advising whether further information or enhanced due diligence is required)• Reviewing KYC due diligence checks on customers including High Risk, Politically Exposed Persons (PEP) and sanctions screening for various jurisdictions.• Learning and thereby using methodology of identifying potential and true matches for successful screening results.• Find Individual/ Entity Link with Sanction/ prohibited countries or individuals through customer screening.

Research Analyst ll• Handling Internal quality control by conducting some tracking and cross checks.• Carrying out field research, data analysis, data consolidation, report creation.• Assigning workloads to team members and coordinating the daily allocation of work. • Identify & List-down Politically Exposed Persons (PEP), high net worth individuals and entities/companies. • Anti-Money Laundering Domain, activities include Global Research of Politically Exposed Person (PEP), Create a Complete Portfolio of PEP's and Quality Assurance of our Research.• Ensure high quality of data as per client requirements through routine quality checksResearch Analyst l• Anti-Money Laundering Domain, activities include Global Research of Politically Exposed Person (PEP), Create a Complete Portfolio of PEP's and Quality Assurance of our Research.• Creating & Maintaining Database of PEPs in Data Quality Application (DQA)• Preparing short summaries on high-risk individuals and entities involved in money laundering, criminal activities• Conduct in depth Internet Secondary Research on various Categories: Politicians, Government owned Companies, Board of Directors, Armed Forces, Ambassadors, etc.• Collect and maintain a database from Government website and other representatives of the media news articles published in local, regional and national newspapers and magazines.• Complete KYC and Due Diligence for individuals and entities• KYC/AML database following FATF recommendation for Sanctioned Entities and individuals following the different sanction lists• Qualitative/ Secondary Research & background screening upon PEP’s• Overcome language issues through various translators.

• Advising the clients on investing through asset classes such as equities, commodities etc.• Client acquisition and retention• Punching Clients order on Terminal and giving confirmation. • Updating client about their margin report, debit, credit, holding status etc• Manages the financial portfolio of the clients by purchasing and selling securities.