Shishira B.K. is a Business Process Lead at Tata Consultancy Services with over 8 years of experience in KYC. He has strong skills in KYC/AML/FATCA processes and analytics. He holds an Executive Post Graduate Diploma in Business Management and Bachelor of Commerce. Previously he has worked at HSBC and DBOI Global Services in roles involving KYC reviews, client on-boarding, and ensuring regulatory compliance.

1. Shishira B.K.
# 67, 10th
Cross, 3rd Main
Shreyas Colony, JP Nagar 7th
phase
Bangalore – 560 078
Email: shishirabk@yahoo.co.in
Mobile : +91-9008750795
Career Objective:
Obtain a position as a team-player in a people-oriented organization where I can maximize
my client-service experience in a challenging environment to achieve the corporate goals.
Skills:
• KYC/AML/FATCA
• Analytical strong
• Quick recognition of bottlenecks
• Making clear reports
• Strong communicative skills
Academic Credentials:
 Executive Post Graduate Diploma in Business Management
(Symbiosys International University)
 Bachelor of Commerce (Bangalore University)
Highlights:-
 Have excellent knowledge and rich experience of close to 8 years in KYC in on-
boarding SPVs, Funds, Financial institutions, corporate clients, Government bodies,
Partnerships and Trusts. Have worked on Low, medium and high risk clients.
 Have comprehensive knowledge of KYC, FATF, Reputation checks, PEP Checks, FATCA
& MiFID classification.
 Well versed with Enhanced Due Diligence Model using various tools like PCR, Factiva,
World check, Lexis negative search and Report Writing.
 Familiar with various business information services i.e. OneSource, Lexis Nexis,
Bankers almanac, ICC Juniper, Orbis, Bloomberg terminal, Zawya and Markit.
Work Experience
Organization : Tata Consultancy Services
Role : Business Process Lead

2. Tenure : Dec 2013- Till date
Job Profile:
KYC Project - Tenure: Feb 2014- Till date
 Leading KYC project at Client Location
 Perform verification and controls pertaining to the identity and reputation of clients so
as to ensure compliance of the Bank with regulatory obligations.
 Identify the customer/s and other relevant third parties for a proposed relationship;
establish the nature of the customer’s business, risk profile, understand the context of
the proposed transaction and services
 Determine appropriate methodology and due diligence approach and information
required to verify the identity of the customer and relevant third parties based on
global policy and local regulatory requirements
 Assess the relevance and completeness of information supplied by the Front Office
upon the take on of new customers and provide guidance to Business Lines on KYC
requirements
 Carry out due diligence checks and information searches per standards of client take
on and categorization rules, and undertake additional reputation checks and diligences
when required.
 Present the file and KYC analysis to Compliance for review/approval when required
or necessary, highlighting material risks or concerns as well as any exceptions or
missing information based on internal policy or external regulatory requirements
FATCA Project – Tenure: Dec 2013- Feb 2014
 To perform 4 eye checks on US tax form (W-9/W-8BEN-E/W-8-IMY/W8-ECI/W8-EXP)
validated cases and to ensure FATCA status and GIIN are updated in the systems.
 To send outreach pack to RM's, who will reach out to client(Outreach pack is about
requesting tax forms and self-certification from client)
 To identify the e-mails where Tax documents are received and assign the same to 2-
eye
 To identify the e-mails where Tax documents are received and assign the same to 2-
eye
 To review tax documents where deficiencies are identified and further outreach to the
client is required.
 To assist analysts when they require clarification/guidance on tax forms
 To process tax forms received within Checklist; when finished, sign and send to client
(Vendor) review for final sign off.
 To actively join client calls to discuss on upcoming projects.
Organization : HSBC HDPI
Role : Senior Associate
Tenure : Dec 2011- Dec 2013
Job Profile:

3.  Leading the Daily Call on KYC profiles with the onshore and Business teams.
 Leading the calls with the clients to discuss on upcoming KYC renewals
(for bulk cases)
 Responsible to ensure trackers and escalation files are up-to date.
 Obtain and update all missing client documentation from client (with the help of the
RMs / Clients )
 Sourcing & updating accurate and relevant client data from the internet and/or
other bespoke information providers. Seek help by way of the Business Information
Centre should the Individual research not yield results or provide any information.
 To provide an update to onshore and business on a daily call about the progress of
all the profiles till the completion and to discuss about the priorities
 Production of KYC profile to the highest quality standard and in line with the latest
policies and procedures.
 Routing of completed profiles to the Quality Assurance Officers (QAO) for technical
signoff on information compiled on the client.
 Following up on client profiles (In line with the latest escalation matrix) and to
ensure that all levels of signoff in line with latest ID matrix .
 To take complete ownership of any profiles/tasks those have been assigned until the
stage of completion.
 Escalation of pending profiles in line with the latest escalation matrix.
 Accurate updation of management information on a daily basis to reflect the latest
status.
 Actively take part in cross training to provide intra team resource cover (i.e.
Financial/Corporate/ Hedge funds teams)
 Understand and comply with all relevant policies and procedures issued by the
Group and contained within the group
 Sharing of best practice thus encouraging an environment of teamwork
As a Project Coordinator
 To plan logistics and capacity to ensure that all the pending requests are completed
in pre-stipulated time frame.
 Allocated and communicated targets to multiple groups and ensured that the teams
had sufficient resources to meet their respective targets.
 Ensured the targets pertaining to service level agreements are met
 Generated reports for the projects which made a difference in tracking the work and
highlighting the areas of concern.
 Tracked system issues and recorded the same to escalate the regular/common
system issues
Organization : DBOI Global Services Private Limited
Role : Analyst
Tenure : Nov 2007- Dec 2011
Job Profile:

4.  Reviewing Private entities, Government bodies, Partnerships, Regulated and Listed
entities etc.
 Perform Quality checks on Know Your Customer (''KYC'') due diligence reviews on a
diverse range of institutional customers, ensuring the Bank's KYC and Classification
procedures are made in strict accordance with regulatory requirements and the
bank’s internal policies.
 Retrieving, validating and setting up of accounts from Omgeo alerts for priority
clients.
 Review of public domain searches
 Escalation of high risk/negative information in accordance with DB policies.
 Maintain KYC to ensure compliance with laws of relevant jurisdiction as well as DB
policies.
 Analyze a wide selection of client documentation in order to extract key information
and validate client details.
 Provide support as required to resolve queries / issues and provision of MIS, where
requested.
 Ensure effective and even distribution of workload on daily basis; ensure efficient
utilization of team members.
 Liaise with Sales Dept. & Business Managers to ensure relevant KYC documentation
is extracted and processed.
 Liaise with the AML and Advisory compliance for escalations.
 Responsible for managing productivity, accuracy and timeliness as per benchmark
requirements, Error Analysis, etc.
 Preparing weekly MIS Report, Resource utilization, Weekly & Monthly presentations
to the onshore counterparts
 Provide Training to new joiners and supervise production.
System Skills:
 Operating System Knowledge : Windows 2010 & XP
 Knowledge of Microsoft Office Suites: (MS Outlook, Word & Excel)
Achievements :`
In DBOI, was part of pilot batch in the safe transition of KYC – London process to Bangalore
through webex.
Have successfully completed various projects i.e MiFID Test, Summit remediation, FX
remediation, UAT testings during new release of internal client on-boarding applications.
Have received couple of star awards and team of the quarter awards for good performance.
Other Courses :
 Six Sigma Greenbelt Trained (From DBOI)
 Computer accounting/Tally 9 version

5. Other personal information
Date of Birth : 2nd
Feb 1986
Gender : Male
Nationality : Indian
Marital status : Married
Driving license : Indian driving license
Interests : Table tennis, Chess, Cricket, Swimming, trekking
and current affairs.
Place: Bangalore Shishira

6. Other personal information
Date of Birth : 2nd
Feb 1986
Gender : Male
Nationality : Indian
Marital status : Married
Driving license : Indian driving license
Interests : Table tennis, Chess, Cricket, Swimming, trekking
and current affairs.
Place: Bangalore Shishira