Avinesh Erra
Compliance Analyst
Palmdale,LA
Summary
PERSONAL SUMMARY Seeking a competitive and challenging environment where I can serve your organization and establish a career for myself, I can express my thoughts and ideas for the growth of the company and give timely advice, guidance, support and training to team members and individuals.
Overview
8
8
years of professional experience
Work History
Team Lead (Client Data Analyst)
JP Morgan Chase & Co
02.2017 - 10.2023
- Database Group : CIB Ops: Client Reference Date, Client On & Off-Boarding
- JOB RESPONSIBILITIES:
- Documents verification like Business Registrations and License, Certificate of Incorporation etc., Perform Customer Reviewing, Annual Reports – Identifying Prime Business activities and ensure data meets the firm’s quality standards to identify the firm’s exposure to high-risk clients
- Perform Client Identification Program (CIP) validation as per our list of KYC Acceptable evidences (Like for Eg: Business Registries, FinCen Form, FINRA, LexisNexis, Annual statements, Prospectus Etc.) and other financial documents and ensure Regulatory reporting requirements
- Ensure daily deliverables are met and hold owners accountable by managing implementation issues, escalations and error resolution
- Interact with key stake holders such as Legal, Compliance, Credit officers and operations to develop strong partnership, eliminate roadblocks and ensure continuity of information flow across the groups
- Research and Remediation of accounts to ensure the Fund is rolled up to correct Asset manager & closely work with KYC officer and respective Customer Service Associate (CSA)
- Co-coordinating with KYC Officers, Credit Ops Heads & LOB Heads for proper Docs/approvals to onboard a client account
- Making amendments, hierarchy changes, static data updates, mergers and deactivations within specified time lines and ensure active accounts are closed for the dissolved clients which are no more active in the market
- Manage escalations, assigning/allocation of daily BAU requests to the team & Timely respond to our group mail box & random QC on our team’s productivity items
- Preparing & publishing daily/weekly/monthly productivity metrics, SLA reports to the management
- Identifying the Duplicate accounts and Alignment of the client, activation / De-activation of accounts, which are expired, business closures, dissolved
- On boarding/Off boarding the new or existing accounts respectively on request basis
- Sending calendar meeting invites for our team & participating for weekly team hurdles, calls with clients from Onshore/Off shore teams for preparing SOPs or taking process updates.
- PROJECTS
- Manual Maintenance COLT QC report – Alteryx Automation
- MI team will provide the raw data on daily basis and also, we will download the data from the share point and we consolidate both the reports and we have to retrieve the Manual Maintenance Colts requests by filtering the data through colt status, completion dates and we publish to Management
- Team productivity Tracker – Alteryx Automation
- Team Productivity Workflow provides the productivity and capacity of the team by taking individual activity details from tracker on weekly and monthly basis and sending emails to respective teams without manual intervention.
Deputy Manager
ICIC Bank Ltd
04.2016 - 01.2017
- Database Group : AML Compliance
Team Developer
Bank of America Continuum India Pvt Ltd
- Global OFAC Sanctions Review & Accounts Payable Process
- Key Achievements
- JDIC Certified from six sigma standpoint which approximately saved 80% of time saving on Leave Tracker
- Completed Payment Certification Program (PCP) Level 1 and Level 2 in Bank of America
- Several Appreciations & Rewards from senior level management for supporting the sub-processes during crisis period with highest productivity in the team
- Appreciated and nominated by line of business for being delivering all responsibilities timely and efficiently.
Education
M.B.A - Finance
Institute of Aeronautical Engineering
B.com - Computers
Little Flower Degree College
Skills
- Client Reference Data
- Client On & Off-Boarding
- Client Maintenance
- AML Compliance
- OFAC Sanctions Review
- Accounts Payable
- Team Building
- Analytical Thinking
- Quality Assurance
- Team Management
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Timeline
Team Lead (Client Data Analyst)
JP Morgan Chase & Co
02.2017 - 10.2023
Deputy Manager
ICIC Bank Ltd
04.2016 - 01.2017
Team Developer
Bank of America Continuum India Pvt Ltd
M.B.A - Finance
Institute of Aeronautical Engineering
B.com - Computers
Little Flower Degree College