1. SOMESH KUMAR Bangalore, Karnataka
Mobile No: +91-9620092929
Email: somesh1.kumar@gmail.com
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To seek a challenging and rewarding career in Compliance, Client on-boarding/ Know Your
Customer domain to enhance my skills and build-up my knowledge with development of
useful insights.
Profile at a Glance:
IIBF Certified in KYC and Compliance. A result oriented employee with more than 10 years
of work experience in Banking Operations. I have good experience in Due Diligence, Client
on-boarding, KYC/AML, Screening, Data Cleansing, Regulatory reporting, Preparing and
Auditing Procedure Documents and BCP (Business Continuity Planning). Currently I am part
of Financial Crime Compliance Analytics team, works with Compliance heads, Money
Laundering Reporting Officers (MLROs) and FIO team. Also, playing key role in creating
and updating process documents (SOP/KOP) and publishing various dashboard related to
High Risk Customer, PEPs and Sanction & Policy.
ANZ : March 2015 - Till Date (Bangalore)
Department : Financial Crime Compliance Analytics as Assistant Manager
PROFILE:
• Publishing various reports to Global and regional leads on customers Compliance,
Fraud and Risk health status.
• Maintaining and publishing Sanctions and Policy exemption/deviation register.
• Working closely with Country MLROs on PEPs and improving data quality of
various data registers.
• Working on KRIs and as an internal auditor checking SOP/KOP, working on process
flows.
• As SharePoint Admin involved in improving data quality of SharePoint/data
repository for all countries across four divisions of ANZ.
• Working with Financial Intelligence and Country MLROs to have a close eye on
customer’s status pertaining to financial crime and KYC.
• Helping stake holders in completing/publishing various Risk Committee papers
which is discussed at Board level meeting.
• Engaged in preparing various Risk Scoring tools which is used by various Operation
teams under FIO domain.
Wipro Infotech : Dec 2014 - March 2015 (Bangalore)
Department : JP Morgan & Chase (Corporate & Investment Bank) as Team Leader/Lead
Analyst
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WORK EXPERIENCE
CAREER OBJECTIVE

2. PROFILE:
• Handling KYC team of 8 FTEs.
• Managing end to end activity of my team and improving team performance by
bridging the gap, if any.
• Conducting Trainings, Meetings and one-on-one to meet team KPI.
• SPOC from Wipro to JPMC management and on shore partners.
• Performing QC of the cases processed and resolving escalated cases.
• On boarding clients into JPMC system post performing KYC.
Deutsche Bank : Feb 2012 - Dec 2014 (Jaipur)
Department : Client On Boarding as Process Supervisor
PROFILE:
• Handling Central Global Team of EMIR consists of 5 FTE.
• Reviewing client/ customer documents as per KYC / Compliance requirements and
performing QC.
• Reviewing Key Operating procedures (KOP), preparing MIS, & Reporting to all
relevant stakeholders for the quality/ productivity target movement.
• Identifying the Ultimate beneficial owners along with politically exposed persons and
carrying out further EDD (Enhanced Due Diligence) checks.
• Conducting Training for new and existing agents, taking refresher related to the
process & floor walking.
• Verifying all the Dodd-Frank and EMIR related documents like NFC Protocol, Recs
& Dispute Protocol, ISDA agreement, Master agreement, Dodd-Frank questionnaires
for the respective OTC derivative transactions.
GENPACT : Feb 2006 - Feb 2012 (Gurgaon)
Department: Credit Risk & KYC as Business Analyst
PROFILE:
• Managing KYC team of 7 FTE for GE Energy Services.
• Transitioned and streamlined 2 processes (KYC for GE Energy and Citi for GE
Commercial Finance).
• Maintaining/keeping track of ~234k Accounts of GE customers.
• Part of the team which performs the Due Diligences of channel partners of
GE ENERGY.
• As a BCP in-charge performing BCP for our process on regular interval.
• Performing the Credit Checks and providing recommendation on credit limit.
• Conducting research with appropriate tools & research before adopting any customer
using D&B, Client Websites, Reuters, Google Finance and Factiva.
• Handling team (worked as a shadow manager) of 22 FTE under GE Commercial
finance which consist of various sub-teams.
• Undertake the due diligence search using Lexis-Nexis(Bridger), Trade Prism, White
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3. Page, First Data, OFAC on prospective clients and Entities.
• Problem solving and quick thinker.
• KYC / Client on-boarding.
• Intermediate in MS Excel.
• Business Continuity Planning.
• Knowledge of VBA, SQL and Java.
• Prepared a Checklist which reduced the “Request Rejection” from 32% to 13%.
• Risk Assessment tool for Trade Finance team.
• Successfully implemented EMIR & Dodd-Frank regulation in our business.
• Transitioned 2 new processes.
• Proficient in MS Office.
• Hands on knowledge of D&B Database.
• Working knowledge of risk tools like ISDA, e-RAM, Lexis-Nexis, Bridger, World
Check, Trade prism, 3rd
EU MLD, PCR etc.
• IIBF Certified in KYC and Compliance.
• PGDBM (Finance & HR) from IMT Ghaziabad 2012.
• GNIIT Certification from NIIT LTD.
• Commerce Graduate from Jiwaji University, Gwalior 2005.
• Schooling from Sainik School, Rewa (MP).
• Date of Birth : 25th
January 1984
• Permanent Address : Indore (Madhya Pradesh)
• Reference : Available if required
I assure that the information given above is correct & true to the best of my knowledge
and belief.
Date: Signature
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PROJECTS
TECHNICAL SKILLS
PROFESSIONAL/ EDUCATIONAL QUALIFICATION
AREA OF EXPERTIES
PERSONAL DETAILS