Richa Seth Email & Phone Number

Gurgaon

Anti-Money Laundering (Periodic and Rolling Review)- Current projectJob Description:•AML/KYC Rolling Review of USA based Investment Banking Client.•AML/KYC Periodic Review of UK based Corporate and Institutional Banking (which involves customer identification, verification and other due diligence procedures) of corporate companies as per anti money laundering/KYC guidelines. •It involves detail-oriented analyst with the ability to research, analyze using a combination of specialist research tools such as Lexis- Nexis, OneSource, Bloomberg, company’s website, Google, Dun & Bradstreet, banker’s almanac, world check, regulatory website, commercial registries and corporate databases in a variety of countries and languages and draw conclusions related to all federal and state rules and regulations and their applicability to bank products and services. Collating updated information from different approved sites regarding the customer.•Proficient in Sanctions screening and identifying PEP relations. •Periodic Review insight in the areas of Customer Due Diligence, Sanctions, Terrorist financing and Anti-Bribery & Corruption. •Identifying an entity type based on its business activities and ownership.•Skilled in creating and conducting risk assessments and making recommendations to mitigate risks.•Identification and monitoring of activities and transactions considered suspicious.•Conduct proper investigation of money laundering alerts or transactions considered suspicious.•Adapt in establishing and maintaining advisory relationships with all operational units.

Fidelity International - UK Process, (July’ 08 – Feb’11) 1. Controls Department (November’ 08 - Feb’11) Job description:• It is involved with the Control Reports.• AML Metrosoft software, where in Politically Exposed Persons (PEPs) and Sanctions (High risk individuals) are listed on a screen and we have to compare them from the Fidelity client database. • Testing of Statement & Valuation, to ensure all is in order before they are printed and sent to the client.• Updating of procedures & training the new joiners.• To prepare volume stats on daily/weekly/monthly basis.• Interaction with the client on a day to day basis & call monitoring while doing investigations.2. Re-Registration Department ( July’ 08 – October’ 08) ReRegistration team is responsible to capture all the clients ReReg details on system, recording the units on the client accounts, calling up the providers for any not in good order (nigo) and chasing up the providers for any pending rereg request. The team is working on the various queues.

New Delhi, Delhi, India

Two months internship in National Building Construction Corporation (NBCC), as assistant to systems manager, Finance Department.

Master Of Business Administration (M.B.A.), Executive Mba

Post Graduate Diploma; Bachelor, Financial Planning (Pgdfp); Business Administration (Bba)