Worked on three different projects which are one of the top banks & asset management firmInvolved in performing quality evaluation of the KYC cases/ clients completed by the analyst. Researches and analysis testing results or issues and provides accurate training when and where necessaryHad the ability to retain or exit a customer relationship align with supporting documentation submitted for each high-risk customer type, and with appropriate research conducted during the high risk customer review processImplements, performs and documents assigned customer verification reviews; performs and conducts compliance related screening for PEP, sanctions and adverse news based on detailed procedures and processes.Build strong working relationships with Quality Control Team, Compliance, Audit, KYC Officers and business segmentsTrack and review Quality Assurance observations with the Line of Business and Quality Control management teamFormulate recommendations to further enhance the overall Due Diligence processPerform root cause analysis and identify solutions and best practices to support quality of KYC Due Diligence in alignment with Global KYC Standards and guidanceAssess the need for process/ procedural changes and escalation as appropriateAssist in the implementation of new policies and procedures as appropriateParticipate in and Lead team discussions on the calibration of findings and build consensus prior to finalizing records.Review QC Testing results with appropriate management on a regular basis as prescribed by the functionMaintain/escalate QC/Testing reporting metrics for inclusion in monthly reporting requirementsBeen a Self-motivator and always partnered with the QC team to maintain high performanceMaintain confidentiality of sensitive client informationAlways committed towards performance management Received several spot awards from the manager and the business level for top performances in the projects

Responsible for evidentiary documenting and gathering of relevant information, risk assessment and appropriate level of due diligence research and checks for all new clients to ensure that the bank’s KYC requirement have been satisfiedLiaise with the Relationship Manger / Sales Team and with the clients directly to obtain pending or relevant informationClassification of MIFID and FATCA or obtain GIIN numberConducting KYC on mainly Financial Institutions, large corporate and NBFI (Non-Bank Financial Institutions)Performing SDD, CDD & EDD depending on the risk matrix of each clientScreen relevant parties (Director, controller, shareholder, UBO) and escalate any sanctions to MLROAdverse Information screening - Distinguishing between Significant Material and Immaterial adverse information and providing valid mitigating factors

End to End KYC, Document Collection, Approvals, communicating with sales and Compliance, Classify the Client, Risk Classification, Finalization.Onboard Fund, NDG numbers, Opening new accounts as per requested codes, CDD tool, MIfID Classification.Making sure all the requirement of KYC Standards is complied with (Global standards plus any additional country specific standards)Communication with the Sales Person for any Pending Information on KYC Documentation Requirement (Relationship Contact).Communication with the Compliance- Owners of KYC Standards, and will manage any changes to ensure Compliance with regulatory requirement whilst also applying a risk based Approach.Meeting KYC requirements review and approve Funds that are opened for UniCredit CIB Conducting standards.Complete Background checks On Names, Signatories under the authority using the applicable Unicredit Legal Entity’s EMBARGO, Web Enquiry or Intranet Tool.Identifying any entity or institutions on an official sanction list as well as any entity with which Unicredit has agreed not to do Business.Beneficial owners or directors, Controllers that are natural persons perform PEP (Politically exposed Person) Screening.Taking into account main factors before Classifying Risk Factors – Geography, Industry, Product, Entity and PEP and reputational risk (e.g. negative information)

End to End knowledge on KYC policies & procedures – Account set up, Approvals, reviewing (quality check), Sign off, Reporting, Coordinating with the compliance team & front office partners for any pending information.Dealt with Low, Medium & High Risk clients (Wealth Management group of clients)Dealing of the KYC policies & procedures for different clients – Checking the banking relationship of the client by reviewing the establishment of the in that particular account and also identify and verify the clients identities and purposes with the bank satisfactionEffectively handling a cluster of 4 members as assigned to me by the higher management on monthly basis for assistance & guidanceInvolved in end to end reviewing and sign off of accounts (initial review & final review) on client file to ensure KYC meets compliance requirement. Communicating with the compliance team at all the stages of KYC processIdentify the errors in the particular account and communicate it to the team members to avoid riskAssist team members in query solving. Provide trainings and refresher courses as and when necessaryCross trained on distribution (account closure) and helped the team in completing quick closing project accountsInvolved in Process Improvements such as Ideas to prepare an efficient Checklist, bringing down aged accounts count