Saurabh Singh Email & Phone Number

Mumbai

Head of Compliance and Principal Officer to FIU IND

Mumbai, Maharashtra, India

Risk Stewardship and Compliance Advisory pertaining to Regulatory and Financial Crime Compliance for Wholesale banking.

Varanasi Area, India

Head of Anti Money Laundering (AML) & Know Your Customers (KYC) I was the policy maker of KYC AML CFT policy for ours Bank, and ensured that Bank was not being used for money laundering and financial crime related activities.I ensured that my team worked tirelessly not only to follow best industrial practices but to be a role model in peer group in the domain of Financial Crime Compliance. I acted as MLRO and the Alternate Principal Officer to FIU IND, and my transaction monitoring team performed monitoring and reporting of suspicious activities/ transactions, CTR, CCR, NTR to FIU IND.I was also the one point contact for RBI , FIU IND and other LEA for KYC & AML queries and worked in close coordination with IT, Ops etc. for meaningful data analysis and accurate submission.I was engaged with different stake holders with respect to latest developments, breaches, remediation actions etc. for KYC and AML related matters.I along with my team extended our support to testing and regulatory compliance of the Bank, included but not limited to RBS submission.

Mumbai Area, India

Institutional Banking GroupGovernance and ControlAML-KYCThe major activity was engaging different stakeholders for the overall objective of Governance and Control function of the IBG vertical.additionally, reporting of tranche 1 and 1a data, along with organising and conducting monthly FEMA Task Force meetings were part of core activity.Close coordination with Relationship Managers for completion of periodic KYC updation, PEP clarification, Sanction related advisory along with KYC( corporate banking, western & Asian MNC) , BO etc. advisory were integral part of the profile.

Mumbai Area, India

• Perform detailed analyses of alerts raised from AML software designed for retail as well as corporate banking clients based on IBA, SEBI, RBI and In house rules and regulations• Provide team leadership to 4 assistant managers for handling various anti money laundering activities which includes monitoring sanction list using Dow Jones software, preparation and reporting of STRs to FIU-India and analysis and timely submission of regulatory reports including CTR, NTR, CCR and CBWT• Contribute significantly in organizing various training sessions for different branches in order to enhance their knowledge and skills on AML and KYC norms, rules and regulations

Mumbai Area, India

• Responsible for handling various equity and capital market operations including coordination with BSE, NSE and MCX for clearance and settlement of claims• Guided, controlled and motivated a team of 2 Assistant Managers for handling all aspects of back-office activities of processing NFO and various schemes of mutual funds services along with handling ASBA and LAS operations

New Delhi Area, India

• Actively involved in handling customer queries and performing a quality check while capturing data during formal induction of customers in IDBI Bank• Mentored and motivated a team of 1 executive and 8 outsource employees for handling compliance, financial control, reporting, customer service and facilities management operations• Coordinated with Internal and Statutory Auditors for conducting periodic audits; evaluated Internal Control Systems to identify the flaws and implemented necessary processes to overcome the defects in the existing system

Alwar (Rajasthan) And Faizabad (Up)

• Received Two Silver and One Gold certificate in the area of CASA selling • Awarded with GI (General Insurance) Certificate of Excellence in GI challenger (An Axis Bank championship for all the staff members-PAN India)• Spearhead efforts for executing three large scale housing board projects; two in Rajasthan UIT (Urban Improvement trust) project and RHB (Rajasthan Housing Board) and one in FaizabadAlso excelled in branch operations and done Cash Management, Clearing, CMS etc.

Allahabad Area, India

at the Store Level. Managed the 32, 500 sq. feet of hyper market in Allahabad and managed the team of 160 people, which constitute of sales persons to Marketing manager. The profile constitutes of Recruitment and Selection at various levels, Visual Merchandising, Inventory Management, Cash Flow statement and Liasioning etc.Career Highlight- Opened the show room of Allahabad in the month of Aug, 2008 with the Area Manager, and successfully recruited the persons at various levels.Auto-Mobiles Industry- Chandra Auto Mobiles(Dealership of Hero Honda) (April,2003-Feb,2004)- Worked as Sales executive in the Faizabad region, and successfully managed the sales targets as well as the after sales services. Actively promoted the India's largest Direct Marketing Program the Passport Program.

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