Head of the Monitoring Surveillance and Controls APAC Pune, managing a 50+member team performing 2nd line of defence surveillance activities for Investment Banking, Asset Management and Global Wealth Management Business.Primarily responsible for execution and delivery of results for risks identified from both automated and manual controls based on various risk topics such as Conflict of Interest, Anti-Bribery and Corruption, Market Conduct, KYC, AML & Cross Border business related activities for the Bank

Co-Head Pune MS&C team performing various surveillance activities for 1st line of defence such as eCommunication Surveillance, Trade Surveillance, Manual Controls within GCRG

eComms and aComms Surveillance Lead in Monitoring Surveillance and Controls Team (MS&C) within Group Compliance, Regulatory and Governance (GCRG)Lead 12-member team performing surveillance and adhoc thematic controls on various communication channels used by the firm in line with the internal policies and regulatory requirements to cover risk under various risk themes

Responsible for overall governance and Management of Anti-money Laundering, Transaction Monitoring and Client ID functions for CS.Client Identification - Undertake Client ID of IB Institutional clients booked in APAC and EMEA contracting entities in accordance with the regional as well as country specific regulatory requirements.Evaluate and assess the risk of new client accounts in order to analyse and determine whether they satisfy the client on-boarding requirements as per AML and KYC guidelines documented in the regulatory requirements manual and bank’s policies and procedures.Design and document the process and procedures to satisfy regulatory rules and implement control measures to adhere to ongoing changes in regulatory requirements.Annual Client Monitoring - Coordinate the Annual Client Review program for APAC and EMEA IB contracting entities.Confirm validity of active clients, client classification and client static data held in various systems.Coordinate with various stakeholders to understand business needs and educate them to promote a cohesive compliance culture.Quality Control and AdministrationCapture key updates in regulatory requirements and establish an update dissemination process to help understand business background of the impacted processes.Identify underlining issues and initiate remediation activity to satisfy audit requirements and mitigate risk.Ensure that AML Compliance is performing the necessary control checks in accordance with procedures.Identify opportunities for process improvement and initiate improvisation to achieve operational effectiveness.Assignments and Projects:Undertake specific due diligence assignments in conjunction with regional oversight.Lead regulatory and adhoc projects on CID/AML.Prepare Monthly / Quarterly Management Statistics and DashboardLead pre-audit preparation projects for regulatory audits.

Lead Operational Effectiveness ProjectsLead Service Enhancement ProjectsLead User Acceptance testing ProjectsLead Kaizen InitiativesResident expert for SE initiatives across all CoE Locations. (Powai, Pune, Raleigh and Singapore)Ensure adherence to Risk and ComplianceLead Internal AuditsPolicy Formulation and Implementation