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Somesh Kumar
- 1. SOMESH KUMAR Bangalore,Karnataka Mobile No: +91-9620092929 Email: somesh1.kumar@gmail.com ---------------------------------------------------------------------------------------------------------------- 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 Page 1 of 3 WORK EXPERIENCE CAREER OBJECTIVE
- 2. PROFILE: • Handling KYCteam 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 Page 2 of 3
- 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 Page 3 of 3 PROJECTS TECHNICAL SKILLS PROFESSIONAL/ EDUCATIONAL QUALIFICATION AREA OF EXPERTIES PERSONAL DETAILS