Vishnu Pathak Email & Phone Number

Delhi, India

Gurugram, Haryana, India

Gurugram, Haryana, India

-Incorporate a robust mechanism to ensure that regulatory guidelines/instructions are promptly issued/disseminated within the organization.-Incorporate a robust mechanism to monitor compliance with the regulatory guidelines/instructions.-Identification and prioritization of potential areas of compliance risk which may damage the bank's reputation, legal or regulatory sanctions, or financial loss.-Development and implementation of risk mitigating measures, including clear standards, procedures and guidelines, to prevent, mitigate or minimize(important) compliance risks and detect, report and respond to compliance violations.-Reporting to the audit committee/Board about incidences of non compliance and submission of various reports for its review.-Ensure that appropriate regulatory/ compliance requirements form part of training programs of business units.-Proactive in advising to the management and employees with respect to any compliance risks.-Maintain effective relationship with the regulators with respect to compliance related matters.

Noida Area, India

-Ensuring compliance as required by regulatory authority of the VCIP onboarding process.-Conducting compliance reviews as per regulatory guidelines on KYC-AML and the bank's policies and processes.-Transaction monitoring on AML alerts and reporting to MLRO for STR filing.-Compliance feedback in review of KYC AML policy and processes of the bank.-Conducting compliance reviews/ testing and reporting to senior management with recommended remedial action.-Ongoing review on effectiveness of KYC documents, feedback on process of forged documents identification and arranging related training programs.-Monitoring recon activities of the AOD's received on floor for audit purposes.

Gurgaon, India

-Maintaining entire client on boarding of Non Individual Clients and Corporates.-Reviewing client on-boarding files and client instructions received from retail branches as per banks KYC & AML Policy of the bank.-Sharing MIS with Senior Management for discrepancy/errors identified during the review of client on-boarding forms.-Co-coordinating with Product Team for designing and launch of new products.-Allocation of cases to pan India verifiers and maintaining MIS therefore regarding discrepancies observed.

Banking

Bachelor Of Business Administration (B.B.A.), Computer Science And Commerce

Commerce

Education record