1. PHANINDRA BABU
Mobile: +91 9503605188 E-Mail: phanindra1234@gmail.com
Employment Recital
Performed assignments in Know Your Customer policies, Compliance, Anti Money Laundering & Audit with
the organizations preferably in Banking / Finance Sector
Having 7 Years of Experience in Compliance areas of KYC & AML backed by good knowledge of relevant
operational exposure.
Educational Background
 M.C.A from Spaces Institute for P.G.Studies, Andhra University.
 Master of Business Administration in Finance from SMU.
 B.Sc., (Computers) from AGL Degree College, Andhra University.
Professional Certifications
 AML & KYC Certification from IIBF
 Fixed Income Debt Market Certification from FIMMDA
 Equity Derivatives Certification from NCFM & BCFM
 Regulatory Compliance Policies & Procedures Certification for Financial Markets from NCFM
 Currency Derivatives Settlement Certification from NISM
Skills Profile
Database Oracle 9i and Sql Server
Web Design Tools HTML, DHTML & CSS
Designing Tools Microsoft Visio
Operating Systems Windows OS (7,XP, 2003 server and 2000 server)
CAREER CHRONOLOGY
Credit Suisse (Dec 2012 to Till date) Pune
Lead Analyst – Financial Crime Compliance
Key Responsibilities:
 Approving new client relationships after reviewing CID documents provided by respective region
front office.
 Interact with the front office to ensure that proper account documentation is obtained from the
customer prior to approving client on boarding.

2.  Performing Quality Analysis on High Risk (EDD) Relationships and escalate all the issues to the
respective desks which could have an impact on the business.
 Reviews and Approvals of Static Data Amendments for existing customer accounts (Periodic
Reviews)
 Conduct the background screening using specialist research tools like Factiva & Lexis Nexis.
 Verifying that the Entity is not part of Sanctioned Countries List and not
Dealing/Invests/Domiciled/Controlling from Sanction Country and also verifying the Cross Border
transactions.
 Scrutinizing the Source of Funds, Source of Wealth, Nature of Business, Products and Identifying the
Risk Associated with It.
 Closing the world check hits as false positive/critical match/non-critical match as appropriate which
are generated against the clients and their associate parties.
 Periodic monitoring of the Gifts & Entertainments provided by the employees to the Government/
State Owned clients.
 Reviewing and designing AML alerts and thresholds in line with the Bank's internal policies and
regulatory requirements.
 Analysing High Risk EFTs’, Hidden Relationships, Watch List Scenarios as a part of alert investigation
in Mantas and taking the appropriate action on the alert.
 Analysing the MT 202 Cover Payments which are routing through high risk jurisdictions
 Supporting Head Compliance and Money Laundering Reporting Officer (MLRO) in implementation
of AML Change Programme and assisting MLRO during internal/external audits.
 Preparing the Executive Summary/Amendments to the existing EMEA Mantas process
documentation post Audit and sharing with MLRO for Sign-off.
 Ensure that issues are escalated to the appropriate desks which are PEP Desk, BACC Desk, Sanctions
Desk, Sustainability Affairs Desk, and Reputational Review Desk and get their approval before on
boarding the client.
 Monitoring of the trading activities on unapproved / suspended clients.
 Tracking the book of work activities. Production of monthly reports.
 Preparing Monthly Dashboards for CID EMEA region
Previous experience: -
BARCLAYS (May2012 to Nov 2012) Chennai
Senior Analyst (Client On-boarding)

3. Key Responsibilities:
 Performing KYC- Customer Due Diligence & Enhanced Due Diligence for on boarding Global
Corporate Clients for Cyprus, Jersey, Isle of Man, Guernsey, Gibraltar, Knightsbridge (London)
Jurisdictions.
 Supporting KYC requirements for Global Banking & Markets and Commercial Banking for new
clients, across multiple business lines, ensuring AML Regulations and Barclays policies and
procedures are maintained and adhered.
 Prepare KYC profiles in accordance for sign off in accordance with the Group Policy, KYC ID Matrix,
local regulatory requirements and Sign Off Authority
 Proven skill sets in analysing implications of mergers and acquisitions on legal identities &
ownership structures of Corporate, FIs & Funds
 Analysing, Identifying & Verifying the Complex ownership Structures (more than 3 layers) and
creating the structure charts as per the requirement.
 Performing Independent Research in World Check, Delta List Search, Google Search for PEP Links
and adverse news.
 Adept in “To and Fro” mails with Onshore and Business Partner
 Familiar in retrieving the documents and Information from SEC(Securities Exchange Commission),
OFAC/EU, FSA (Financial Services Authority), D&B, International Company Registries (US Federal
States Registry, UK Company House etc.,)
 Performing research via internal and external sources, gather and analyze documentation in
accordance with Country Specific & Entity Specific Requirements.
 Performing the CDD & EDD and marking the Corporate KYC account as High Risk/Increased
Risk/Standard Risk based on various factors and preparing the CDD checklists and MIS Reports.
 Dealing with all types of Corporate On boarding Procedures (KBI introduced, Direct, Fully Managed,
Partly Managed, Non Managed Accounts)
 Ensuring all documents are loaded in the document loading system with appropriate indexation
 To provide a timely, high quality and flexible KYC and Client identification for clients wishing to do
business with Barclays.
Applications used:
 Skilled in working on applications like “Alacra” & “WORLD Check” & “Lexis Nexis” for performing
searches to pull the negative and relevant information of the client

4.  Performing Counter Party due diligence and uploading the data into the “DM&W” (Document
Management & Workflow) & “OASIS”
 Performing reverse checks with Barclays internal applications like “Delta List Search”.
PROJECT EDEN (GLOBAL REFERANCE DATA) – ISLE OF MAN (June2012-Aug2012)
 Support transition initiative to migrate operations to India for the UK Business team by training new
hires on multiple business processes.
 Successfully met timelines in executing operations in Account management in the division of
Barclay’s wealth intermediaries.
Previous experience: - G.S.V.Securities Private Limited
(Senior Officer for Compliance & AML)
June’08- May’ 12
 Transaction monitoring which includes the finding the frequency, purpose, source of the transaction.
 Identifying & Verifying Suspicious Transactions and filing (Suspicious Activities Report – SAR, Suspicious
Transaction Report – STR, Cash Transaction Report – CTR) with FIU-INDIA.
 Performing Periodic AML Remediation on the accounts.
 Ensure submission of Concurrent & Internal Audit Reports on time
 Undertaking reviews of extended due diligence to assess risk & providing comments and escalate to
Compliance for agreement and approval.
 Managing the compliance team that focuses on AML, KYC & Quality Assurance.
 Performing KYC CDD & EDD for on boarding Institutional Clients.
 Implementing the Regulatory Compliance Life Cycles covering major regulations.
 Dealing with Document Audits including Regulatory (SEBI)audits & Exchange(NSE) Audits
 Performing periodic Quality Analysis on all types of relationships and escalate to the management if any
potential red flags are identified.
 Co-ordinating with the regulators & Exchanges in related to the Compliance testing.
 Identifying the process gaps if any in Audit & AML Areas and Co-ordinates with the regulators to fill the
process gaps adhering to the policies & procedures in place.