• Disseminating circular’s, guidelines, advisories issued by the RBI and other Regulators to respective departments and update to management.• KYC AML Template Risk based approach submission Quarterly to RBI.• STR and CTR preparation and Submission on FIU Portal.• Correspondences with the External Regulators and ensure that responses to regulatory authorities are properly submitted within the stipulated period of time.• Review alerts generated by the SAS screening system and provide second tier approval for investigative escalation of cases meriting further review.• Review of various policies and procedures to ensure they are align to regulatory requirements.• Coordinate and assist Branches and Relationship Manager for matters related to Compliance, KYC/CDD and onboarding of new clients.• Reviewing and closing RBI Ombudsman complaint in CMS portal.• Worked on KYC Remediation, ensure client on boarding of Commercial clients and to ensure that all KYC and Anti Money Laundering documents and information are complete. • Prepare various types of compliance reports for senior management and for regulatory bodies.• Perform various types of compliance testing process.

• Interface with various stakeholders in the process including operations, In business controls , AML teams to resolve any process gaps identified.• Disseminating circular’s, guidelines, advisories issued by the RBI and other Regulators to respective departments and update to management.• Manage suspicious activity monitoring, identification and risk rating of higher risk customers. • Correspondences with the external Regulators including ED, GST department etc and ensure that responses to regulatory authorities are properly submitted within the stipulated period of time.• Prepare various types of compliance reports for senior management and for regulatory bodies.• Perform various types of compliance testing process.• Adherence to all regulatory requirements

Responsible for ensuring that current account opening process compliant with KYC guidelines and ensuring all the processes comply with the RBI regulations & HDFC Group Mandate.Accurate review of Know your client (KYC) and On-boarding documents for foreign and local clients as per RBI and Group Risk & Compliance guidelines to avoid audit, operational risk, compliance and regulatory issues.Responsible for quality assurance, scanning and managing the end-to-end Customer On-Boarding experience for the SME - Liabilities Acquisition within prescribed TAT.Interface with various stakeholders in the process including operations, In business controls , AML teams to resolve any process gaps identifiedComplete responsibility of reducing sales error Rate & TAT for the SME North Region.Reviewing of Regulatory circulars, impact analysis, modifying checklist with respect to account opening, KYC & Regular Training to all front line staff on account login process / KYC / AML / CDD / EDD guidelines.Periodic reporting & Generating various MIS Reports on a daily basis and submitting the same to the Top ManagementApproving of all new clients through due diligence procedures including the review of KYC documentation, public record research and AML procedures.Review alerts generated by the Norkom screening system and provide second tier approval for investigative escalation of cases meriting further review.

Ensuring that current account opening process compliant with KYC guidelines and ensuring all the processes comply with the RBI regulations & Group Mandate.Responsible for quality assurance, scanning and managing the end-to-end Customer On-Boarding experience for the SME - Liabilities Acquisition within prescribed TAT.Interface with various stakeholders in the process including operations, In business controls , AML teams to resolve any process gaps identified