SMITHA B. S

AML/KYC expert. Master of Business Administration (Finance)

An achievement-driven professional, targeting challenging assignment in the domain of banking operations with an organization with high repute. Known for excellent communication and teamwork abilities, with a commitment to achieving company goals and delivering exceptional service. Passionate about continuous learning and professional development.

• Deutsche Bank, 12/01/17, Present, People manager with 5 direct reporties reporting., Accountable for all aspects of people management including: regular focused training, coaching, performance appraisals, personal development, performance management and mentoring to enable team to meet challenges and meet team objectives., Responsible for leading team to achieve/maintain service level commitments: focus on quality and professionalism., Performing Quality Assurance review for various global locations. Setting up calibration call with the business Unit, communicating the QA finding and obtaining their approval., Actively involved in sample selection, allocation of files to team members, generating MI report, reporting to management, root cause analysis and assist in critical decision making., Leading New Hire program and training for new Joiners for the team along with daily deliverables., Independently managed a project with vendor resources, which includes Training, providing Onsite support, publishing of Daily MI reporting to the senior management., Working with Legal team and other associated teams in setting up regulatory cross country approvals., Actively leading Account activity Review Project for global which involves account activity review for historic transaction, communicating finding to the respective teams, finalizing the finding and suggesting remediation actions., Engaged in Brainstorming sessions for New Onboarding tool, conducted testing and trained the global team on the tool., Handled various responsibilities and conducted team building activities within the local and global teams. Maintaining Healthy business relations with onshore partners by achieving delivery and service norms., Received various recognition Awards for the overall performance and engagements.
• Genpact, 09/01/14, 12/01/17, Worked as part of the AML periodic review team for Client Goldman Sachs. Worked from the client location as part of the team CIP Rolling Review. Involved in fulfillment of KYC refresh for all customers' profiles required as per regulatory guidelines., Remediation for assigned batch of 2014 and 2015 pipeline and completed successfully. Working on the 2016 population and almost at the end of last phase to complete it., Conducted reviews for global jurisdictions such as Americas, EMEA & Asia accordingly and applied policies required by global KYC procedures. Worked on restrictions and reactivation of Accounts based on KYC remediation process., Worked for FPI remediation as part of India Client On-Boarding Team. Liaised with KRA, Custodian Banks and Clients for FPI documentation., Adapted to Onboarding reviews efficiently and became important part of Americas and India Onboarding team., Liaised with different divisions within GS various departments such as Securities Division, Legal Team, Compliance Team, Operations team to address and resolve the issues of client., Worked on restriction and reactivation of client account based on the client request by Abiding to regulatory norms of KYC documentation., Worked as a batch caption to smoothen the KYC documentation of Top tier clients (top Investment advisor with sensitive relationship)., Liaised with clients, front office, credit, legal, technology and operations as part of the KYC process., Managing and Assisting Genpact Team in Client location on Managerial and Technical Perspective.
• Tata Consultancy Services, 06/01/12, 09/01/14, Worked on AML / KYC for reviewing clients across globe of Investment Bank with means of various Regulatory authorities, Exchanges and various online database searches for the client Deutsche Bank., Performing End to end KYC reviews including initial due diligence, business reach out and profile completion in the applications., Performing due diligence, using tools like PCR (Preventive crime research - internal database), World check on the clients to screen any negative lists., Performing Periodic review of High risk clients and high risk countries., Performing Quality checks on profiles worked by reviewers & interacting with onshore.
• Australian New Zealand Banking Corporation, 04/01/10, 03/01/11, Worked as an Analyst., Job description consists of Auditing, Code of Banking Practice, return mail target. Processing auditing request received from Auditing firms and individuals' clients and issuing audit certificate as the date of request., Assessing the credit worthiness of loan applicant through specified inbuilt tools., Updating the correct address of the clients though return mail target., Additional responsibilities handled as Trainer for the new joiners, resource person in preparation of process mapping, process documentation, training plan, error rectification, assisting Team lead in MIS and other activities etc.

• Paid Data/Information Providers: Bankers Almanac, KRA, Lexis Nexis, DNB, FACTSET.
• Screening Tools: World Check, RDC, Fircosoft Search, Lexis Due Diligence.
• Paid Document Providers: Bankers Almanac, KYC.com 360, Markit, Bloomberg, Terminal, KPMG Astrus, Country Registries, Accurint, Orbis.

• Father's Name: SRINIVAS B.S
• Marital Status: Single