PULOMA MUKHERJEE
Fort Worth,Texas
Summary
Inquisitive Financial Investigator with 8+ years of law enforcement experience planning, conducting and participating in complex financial investigations. Excellent written skills to explain complex financial transactions clearly and concisely. Brings extensive knowledge of commercial databases and other financial investigative techniques.
Overview
8
8
years of professional experience
Work History
Team Leader and SME
Genpact India Pvt Ltd
04.2019 - 04.2021
- Directed and participated in formal and informal meetings with bank directors, trustees and consultants to gather information and discuss findings.
- Monitored financial transactions and immediately reported suspicious activity to authorities.
- Identified and implemented effective methods for examining and analyzing financial documents.
KYC Officer
CLSA Technologies and Services LLP
01.2017 - 01.2018
- Ensuring KYC risk assessments using compliance tools and methods for client on boarding, and ongoing periodic reviews/ KYC renewals of new/existing clients
- Managing and reporting on various clients based on their product types by liaising with various teams in Hong Kong and Singapore
- Expertise in screening process by using various web portal/application (World check, Lexis-Nexis, Thomson & Reuters - Accelus)
- Collaborate closely with various teams to ensure proper completions of all client due diligence (CDD) and accurately monitor various account closure processes for CLSA clients.
Associate
HSBC Data Processing Pvt India Ltd
04.2014 - 06.2017
- Expertise in preparing Transactional Report to identify the risk factor for specified client based on the products used of HSBC
- Analyzing whether the client has fulfilled tax requirements as per regulatory standards.(FATCA)
- This included identifying corruption index ratio, bearer shares acceptance etc.
Customer Service Executive
Sharekhan Pvt. Ind. Ltd
01.2013 - 03.2014
- Tracking capital market (Equity and derivatives) and at end preparing an analyzing different trade reports for the day.(Intraday, Long Term, Arbitrage)
- Generating calls for options and futures trading based on market research being carried out with various trading portal.(Call option, put option)
- Help clients to invest for IPOs (Initial Public Offering)
- Also included handling their grievances and providing more knowledge about different streams of investments like Stock SIPs, Gold ETF, Mutual fund etc.
Education
MBA - Banking & Insurance
D.Y.Patil Institute of Business Management
2012
BBA - General
Mumbai University
XII Std -
Commerce Stream Maharashtra Board
2006
X Std -
Maharashtra Board
2004
Skills
- USA Patriot Act
- Bank Secrecy Act
- Anti Money Laundering (AML)
- Account Closing
- Quality Control Management
- Risk Identification
- Fraud Investigations
- Training Initiatives
- Regulation Enforcement
- Document Classification
- Excellent Communication Skills
- Analyzing Details
- MS Excel; PowerPoint; MS Office
Accomplishments
- SUMMER TRAINING PROJECTS (Internships):-
- Title : Market analysis of broking industry in India, to provide online investment facility in UBI
- Organization : Union Bank of India, Nariman point, Mumbai
- Title : Review of Policies & Procedures of Exporting companies
- Organization : Export Credit Guarantee Corporation of India Ltd., B.K.C, Mumbai
Timeline
Team Leader and SME
Genpact India Pvt Ltd
04.2019 - 04.2021
KYC Officer
CLSA Technologies and Services LLP
01.2017 - 01.2018
Associate
HSBC Data Processing Pvt India Ltd
04.2014 - 06.2017
Customer Service Executive
Sharekhan Pvt. Ind. Ltd
01.2013 - 03.2014
MBA - Banking & Insurance
D.Y.Patil Institute of Business Management
BBA - General
Mumbai University
XII Std -
Commerce Stream Maharashtra Board
X Std -
Maharashtra Board
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