Sameer Gawade Email & Phone Number

Mumbai, Maharashtra, India

• Reporting to the Head Admin & Control and responsible for assisting Admin & Control team with implementing AML/KYC/Regulatory compliance• JBWA account opening review & approval • Review client on-boarding requests and conduct media screening to ensure compliance with client due diligence norms • Review and follow up for ongoing Namecheck hits, Watchlist update etc.• Providing process training to colleagues and sharing compliance related updates among the team• Source of Wealth RM follow up• Transaction based activities such as error trade approval, penny stock approval & client call back for fund transfer• Static data queue accounts review such as change in authorised person, contact details, change in distribution to advisory accounts etc. • Client off-boarding/closure requests• Acts as a backup for various team activities & support the team

Mumbai, Maharashtra, India

• Part of Global KYC Refresh Team• Performing Document Gap Analysis (DGA) to identify all documents/requirements needed to refresh client• Co-ordinating with Client Outreach Specialist (COS)• Reviewing client documents for accuracy and completeness to ensure they satisfy KYC requirements as per the jurisdiction and business type• Executing Customer Due Diligence (CDD), Enhanced Due Diligence (EDD)• Working with regional stakeholders

Mumbai, Maharashtra, India

• Individual contributor as a part of Corporate Finance - KYC Team• Performing KYC Periodic review for corporate/commercial customers• Identifying and verifying Entity’s Legal Name, Registered, Operating and Mailing Address• Identifying and verifying Entity’s Nature of Business, Purpose of Relationship, Sources of Funds and Sources of Wealth• Identifying and verifying UBOs, IBOs, CSMs and Ownership Structure of the entity• Performing automatic and manual screening through RDC, Fircosoft• Interacting with QC Team and take follow-ups with Client Outreach Team to collect required documents/information

Mumbai, Maharashtra, India

Worked with IIBF - Examination department.Responsibilities:• Performing onboarding KYC checks on candidates• Online membership, exam application and admit card validation, re-validation and posting• Resolving errors in membership and exam applications with the help of IT• Responding to members’/candidates’ inquiries over call and email• Support training/academic activities of the Institute

Mumbai, Maharashtra, India

Investment Advisory

Mumbai, Maharashtra, India

• Checking KYC of customers, conduct Due Diligence and performing and reporting of negative or adverse news• Identify source of funds for portfolio investments• Evaluating existing portfolios & preparing review reports as per the risk profiling of the customers• Fee based investment advisory services through products like Portfolio Evaluation Services (PES), Portfolio Health Check-ups (PHC) and Equity Advised Portfolio Service (EAPS)• Identifying and recommending mutual funds (Equity & Debt) based on the parameters like risk adjusted returns, average maturity, modified duration, credit quality, independent ratings, past performance etc.• Providing training & support to Assistant/Regional Product Managers on recommended products & services• Worked on ACE Equity, ACE MF and ACE Reports

Mumbai, Maharashtra, India

• Due Diligence on the mutual funds traded in the US markets• Portfolio performance reports, assisting colleagues in understanding the workflow• Mutual fund research and Fund Statistics Master Database update• Worked on Morningstar, MS Office Suite

Mumbai, Maharashtra, India

CRISIL Ltd. - Associate in GAC (Global Analytical Centre) in Fixed Income Domain• Processing fixed rate, variable rate, zero coupon and municipal bonds on “Maintain Bond” by S&P’s• Live support to the US Bond market investors

Master Of Arts - Ma, Economics, Pass Class

Bachelor Of Commerce - Bcom, Financial Markets, First Class