Bhasker Shukla

• Working within a compliance focused function (2nd line of defense) This function will review unusual activity within customer profiles that may be related to money laundering or fraud. These investigations may lead to regulatory filings.
• Work with the AML- Compliance team regarding investigations. Identify customer-related trends, patterns and issues associated with money laundering, terrorist financing and other unwanted and fraudulent transaction activity.
• Ensure the Anti-Money Laundering policies and procedures are always complied with accordance to EU regulations and Central bank of Ireland Regulations
• Identifying and analyzing the pattern in transactional behavior and determine if SAR filing is required
• Handling Day to day transaction monitoring for the alerts generated from CRM

• Working as Tech Coordinator in Investors AML operations team
• Complete review of Investor AML/ KYC as per AML/CFT policy
• Assist with set up of all Investor accounts on the Transfer Agency system Identification of investors that may create money laundering or reputational risks
• Doing Adverse Media check and conduct due diligence on Investors with help of provided software
• Requesting appropriate CDD documentation from investors in a timely manner Performance of periodic reviews ensuring investor information and documentation is kept up to date
• Conducting PEP checks and discounting the same if required as per the policy and procedures
• Working with line management to ensure that the investor AML team meets the required audit, risk and compliance standards Escalate and assist with resolution of more complex problems and critical issue as referred to Investor AML ongoing monitoring team, as well as those received from internal/ external auditors.

• Worked in AML compliance function of the bank, responsible for end-to-end handling of AML alerts, Filing of STRs and Development Part of AML Software
• Ensure Compliance in document processing of corporate clients and Business Banking clients Create Reports for Potential Suspicious activity revealed with escalated transactions utilizing available tools Contact Clients and accounts managers to obtain additional information and documentation to discount any potential risk or suspicious activity Review daily escalated transactions to recommend false positive or escalated for suspicious activity review Risk Categorization of Customers Based on their risk profile and change in risk profile Based on their transactions
• AML software Implementation (Project): Implementation of new software in bank as per the guidelines based on central Bank and Financial Intelligence Unit (FIU)-India
• Implementation of dynamic risk approach in audit and risk function of bank in accordance with FATF guidelines
• Development of regulatory reports on Finacle in the prescribed format along with and testing of new reports
• Subject matter expert for financial crime and Training for employees

· Training and mentoring new joiners in AML system (Compass) and alert handing / STR Filing

processes.

· Handled Trade based Money Laundering alerts as additional responsibility and identified and reported

STRs on Trade based Money Laundering.

· High Risk and Negative customer list updating on Bank Records

Sanctions screening on Dow Jones/ Factiva, check on SDN (Specially Designated Nationals).

• Handled Consumer banking operations as Branch Operations Manager Roles and Responsibilities Handling of Branch banking operations and customer service, AOF (Account opening forms) checks Abilities in coordinating with internal/external customers for running successful business operations and experience of implementing procedures and service standards for business excellence
• Managing Parameters of Branch score Card, Service Quality, Voice of customer Managing customer Service and cross selling of Banking products