Ramya Shetty Email & Phone Number

Bangalore, India

Bangalore, India

Currently working as Manager – Financial Crime Compliance (FCC) in HSBC, Bangalore, India since January 2017 To manage and provide support in the implementation and management of a global approach conducting period reviews on key FCC activities at a global or regional level.  To provide input and support for the production and delivery of AB&C, AML and Sanctions periodic reviews. To provide support to the Global/ Regional/ Country level Compliance Monitoring and Testing… Show more Currently working as Manager – Financial Crime Compliance (FCC) in HSBC, Bangalore, India since January 2017 To manage and provide support in the implementation and management of a global approach conducting period reviews on key FCC activities at a global or regional level.  To provide input and support for the production and delivery of AB&C, AML and Sanctions periodic reviews. To provide support to the Global/ Regional/ Country level Compliance Monitoring and Testing teams for the completion of the review work. To manage and assist in the collation of and analysis of information from the most recent review work and relevant risk assessments or reports, in order to support FCC M&T in discharging it’s risk steward responsibilities. Support in responding to requests for assistance and ad hoc queries raised from Global/ Regional CMAT teams and / or other stakeholders.  To support the review of Global and Regional Monitoring Reports and MI to both Business and Senior Management.  Perform detailed monitoring and testing of control and risk outcomes as part of global thematic reviews.  To support early escalation of significant AB&C, AML and Sanctions related findings from Compliance Monitoring and Testing and/or AML regulatory breaches derived from the Compliance Monitoring reports to the business and FCC Senior Management in order that appropriate action can be undertaken to rectify. Show less

Hong Kong

 Perform research via internal and external sources, gather and analyze documentation in accordance with regulatory and KYC requirements Review all the documents through set guidelines to meet the regulatory requirements in order avoid any/all financial and reputational risk to the Bank.  Authenticate and validate all the relevant documents before onboarding/remediating a client.  Account Screening and evaluation to ensure all required procedures are met. In depth… Show more  Perform research via internal and external sources, gather and analyze documentation in accordance with regulatory and KYC requirements Review all the documents through set guidelines to meet the regulatory requirements in order avoid any/all financial and reputational risk to the Bank.  Authenticate and validate all the relevant documents before onboarding/remediating a client.  Account Screening and evaluation to ensure all required procedures are met. In depth knowledge of performing Enhanced Due Diligence on entities and raising for Escalation to the Local AML Compliance Team for Red Flags if required Classification of clients according to Mifid guidelines Analysis and Classification of clients on basis of risk-High, Medium and Low Liaising with front office to obtain necessary documentation for further processing. If all docs in order, once after approval of the pack, ensure all documents obtained are indexed and loaded in the Static Database System under respective client’s profile Well experienced in reviewing and approving of Low, Medium and High Risk entities having SPV’S, Hedge Funds, Trusts, Regulated, Listed, Private Entities. Strong Knowledge of AML regulations and Mifid requirements Strong knowledge of FCA , KYC regulatory requirements and JMLSG notes.. Show less

Bangalore, India

 Operational processing of Customer Identification Program across all Corporate Trust divisions; Gathering data from numerous internal and external sources (client files, electronic files, etc) to complete the automated Know-Your-Customer data profile for Foreign Financial Institutions;  Reviewing documents for completeness and accuracy of Know-Your-Customer data across all Corporate Trust divisions;  Conducting due diligence and enhanced due diligence on new and existing… Show more  Operational processing of Customer Identification Program across all Corporate Trust divisions; Gathering data from numerous internal and external sources (client files, electronic files, etc) to complete the automated Know-Your-Customer data profile for Foreign Financial Institutions;  Reviewing documents for completeness and accuracy of Know-Your-Customer data across all Corporate Trust divisions;  Conducting due diligence and enhanced due diligence on new and existing Corporate Trust clients;  Preparing hard/soft documentation files;  Resolving any issues necessary to complete reviews and liaising with other departments. Show less

London, United Kingdom

Worked as Senior KYC Remediation Analyst and AML Analyst for Wholesale Banking and Markets (WBM) Client Management with Lloyds Banking from Oct’12- Dec’12 and Feb ’13 –Aug’13 Undertaking high quality, detailed internal and external research on new and existing relationships in what is a highly complex and high risk area. Using personal initiative and analysis to draw out the relevant information to identify Money Laundering and Sanctions risks to our business Research KYC/AML… Show more Worked as Senior KYC Remediation Analyst and AML Analyst for Wholesale Banking and Markets (WBM) Client Management with Lloyds Banking from Oct’12- Dec’12 and Feb ’13 –Aug’13 Undertaking high quality, detailed internal and external research on new and existing relationships in what is a highly complex and high risk area. Using personal initiative and analysis to draw out the relevant information to identify Money Laundering and Sanctions risks to our business Research KYC/AML critical information on international Institutions using internal/external sources of information (e.g. Bankers Almanac, Worldcheck etc.) Liaise with internal team to complete KYC/KYB profiles Liaise with financial institutions as required to obtain additional information to complete due diligence process, liaising with relationship point as appropriate. Through data analysis, identify risks of financial crime and work with other teams and stakeholders to reduce/eliminate/monitor risk Facilitate the timely escalation of appropriate PEP, Sanctions and AML/KYC related issues to the business making recommendations for changes in policy/procedure Make recommendations on complex queries to senior relationship managers, supplying necessary information allowing informed decisions to be made Prepare for and attend meetings as necessary to support EDD team Maintaining excellent relationships within wider team to ensure achievement of business goals and sharing of best practice Attend team meetings and contribute to an environment of mutual support by sharing knowledge with other team members. Liaise with Compliance on specific requirements and regulations arising under special circumstances  Liaise with Clients, Front Office, Credit, Legal and Operations as necessary as part of the KYC process. Show less

London

Worked for Barclays Wealth and Investment Management Division, London as Project Team Remediation Analyst for London Intermediary Disclosure (LID) Remediation Project from July’12 – Sept’12 and Jan’13. Perform the required KYC screening on new clients by documenting and collaborating the information obtained from the client as required by the Global KYC Procedures utilizing a variety of independent research sources. Analyze Client data, documentation and negative news in order to… Show more Worked for Barclays Wealth and Investment Management Division, London as Project Team Remediation Analyst for London Intermediary Disclosure (LID) Remediation Project from July’12 – Sept’12 and Jan’13. Perform the required KYC screening on new clients by documenting and collaborating the information obtained from the client as required by the Global KYC Procedures utilizing a variety of independent research sources. Analyze Client data, documentation and negative news in order to determine Client Risk Profile as established under the Global KYC Procedures Performing Client Due Diligence tasks, including reviewing documentation and validating personal information, sourcing for relevant data in paper and electronic files, processing and updating key information within system.  Co-ordination with some of our Relationship teams and the Account Opening team. Identification and verification of Beneficial Owner (BO) data in paper and electronic files and manually inputting records into systems, including the internal system Avaloq and spreadsheet.  Maintain detailed records on clients for second-level review  Responsible for reviewing and ensuring all required AML / KYC Regulatory requirements for new clients are met. ( i.e. MIFID etc). Show less

Bangalore, Karnataka, India

Worked at TATA Consultancy Services Ltd as Team Lead for Deutsche Bank for Know your Customer (KYC) Remediation Project (from Nov’09-Dec’10) and as KYC Analyst (from Nov’05-Oct’09) for UK process.Responsibilities as Team lead  Managing a team with 10 associates on KYC project for our client Deutsche Bank. Monitoring effective and efficient team performance. Thus ensuring to comply with the control procedures and meeting the required Turn Around Time (TAT). Conducting… Show more Worked at TATA Consultancy Services Ltd as Team Lead for Deutsche Bank for Know your Customer (KYC) Remediation Project (from Nov’09-Dec’10) and as KYC Analyst (from Nov’05-Oct’09) for UK process.Responsibilities as Team lead  Managing a team with 10 associates on KYC project for our client Deutsche Bank. Monitoring effective and efficient team performance. Thus ensuring to comply with the control procedures and meeting the required Turn Around Time (TAT). Conducting regular RCA meeting and process improvement to enhance the efficiency of the process. Conduct process and non-process related training to enhance and ensure required awareness is created among the team People management and Appraisals. Set-Goals depending on the candidate/sub-ordinates skill sets. Provide timely feedback to sub-ordinates and facilitate development plan, training to meet set goals Monitor and review daily reports and MIS on daily basis to ensure correct information is published to both TCS Senior Management aResponsibilities as a KYC Remediation Analyst Completed analysis of transactional information to identify risk, trends and potential wary activity. Performed the required KYC screenings on customers documenting the information obtained on the client's as required by global KYC procedures. Ensuring compliance with all AML laws, regulations, guidelines, written procedures; OFAC, CIP, KYC. To receive analyse and fulfil the requirements of KYC/KYB in line with the CDD standards.  Ensure compliance with the Group's policies, procedures and guidelines together with all relevant regulatory and statutory requirements where appropriate implementing actions to protect the Group's business at all times. Support Client Management team as subject matter expert in respect of Customer Due Diligence/ KYC and OKYC, to onboard new customers in an efficient and effective manner - ensuring ongoing compliance requirements Show less