Shruthika Shetty Email & Phone Number

Conducting periodic reviews on individualPerform background screening on the client’s name and related individuals using tools like World Check / DowJones / Factiva and google Regulate PEP/negative news and sanctions check to ensure KYC completeness, accuracy and quality/readiness Monitor transactions of the customers, including accessing customer information, transfer deposits andwithdrawal Preparing report based on the findings from the individual account Interact with the front office/client integration to ensure that proper account documentation is obtained fromthe customer prior to approving client Review request Following up with clients and business to retrieve documents and send chasers on weekly-basis

Mumbai, Maharashtra, India

● Evaluating and Approving customer account documentations and supporting information in order to determine whether they satisfy the client Review identification requirements as per AML policies and procedures ● Conducting reviews on all KYC profiles of all entity types which include Government entities, regulated/Unregulated entities, private companies, listed entities and clients across different regions as per their risk levels ● Reviewing all required AML/KYC Regulatory requirements for all client types ● Responsible for performing Rolling Review on existing customers, to confirm the information on file, reconfirm the customer's profile ● Following up with clients and business to retrieve documents and send chasers on weekly-basis ● Conduct the background screening on the Client name & other officials' names using tools such as World Check / Dow Jones / Factiva. Also conduct PEP/negative news and sanctions check to ensure KYC completeness, accuracy and quality/readiness. Also escalate the negative news to the compliance team and interact with them regarding the update on a particular entity ● Interact with the front office/client integration to ensure that proper account documentation is obtained from the customer prior to approving client Review request ● Training new joiners on policy and procedures ● Perform internet research to independently confirm name change and to establish whether to change to corporate structure or shareholding ● Obtain research information as appropriate via company annual report, regulatory website, company website, hoovers and Bloomberg Terminal ● Build & maintain positive and productive working relationships internally and externally

● Documentation and Verification of Consumer and Business Banking account including Onboarding Client search ● Review information currently held on due diligence files against the current due diligence policy and regulatory requirements-Identify any shortfalls. ● Review classification of client and confirm the classification is correct in the light of nature of business conducted by the client ● Obtain research information as appropriate via company annual report and third-party data vendors such as Capital IQ, Hoovers, Orbis, and Bloomberg etc. ● Perform internet research to independently confirm name change and to establish whether to change to corporate structure or shareholding ● Assisting in the development of current procedures and record keeping systems ● Record and update database to reflect completion of AML review and any additional revised details ● Performing KYC as Per Regional Regulations OFAC verification ● Performing Lexis- Nexis/ World Check/Bloomberg/ BusinessWeek check as part of media search, where detailed study of the personnel / Entity found in the negative news section is reviewed and then the entity is referred to compliance. ● Ensuring all exceptions or deviations are escalated to management on a timely basis. ● Meet all the Productivity and Accuracy targets defined for the process. ● Proficient with using Anti Money Laundering tools like world-check, CMCIF, Lexis-Nexis, Dow Jones and Factiva.

● Expenses vendor transactions and payment. ● Booking of vendor supplier invoices relating to all service work. ● Processing bills relating to reverse charges mechanism. ● Solving all queries in case of wrong bills and wrong service tax charged. ● Respond to all vendor queries regarding payments. ● Assist on month end activities. Providing remittance advice to suppliers ● Employee reimbursement. ● Booking of employee vouchers relating to their tour and other expense. ● Respond to queries regarding to employee payments voucher.

Education record

Education record

Bbi, Banking And Insurance

Master In Management Studies, Finance