Mohit Jain

Experience

• 

  Axis Bank

  Jun 2013 - Feb 2015

  Assistant Manager

  Handling day –to –day Banking Operations, Branch Compliance and Business Aquisition for the Bank.• Working as FDO (Front Desk Officer) catering branch operations and compliance.• Carrying out AML Operations & Compliance check which includes KYC & Re KYC of bank accounts as per PMLA Act 2002.• Scrutnizing DailyBranch Reports for transactions monitoring.• Reporting CTR(Cash Transaction Report) & STR(Suspicious Transaction Report).• Handling Demat Operations.• Using CRMNext to provide right financial solution to customer as per requirement.• Generating budgeted revenues by acquiring new relationships through referrals and cross sell of bank’s products & services. Show less

• 

  American Express

  Mar 2015 - May 2018

  KYC - AML Operations Analyst

  • Responsible for risk based profiling and onboarding of new clients for the global markets.• Responsible for conducting Customer Due Diligence (CDD) and Enhanced Due Dilligence (EDD) by leveraging various 3rd Party software tools including Salesforce Cloud, World Check, LexisNexis, Bridger, Graydons, DnB etc.• Collection and verification of client data in line with respective market regulator and International KYC-AML Guidelines.• Handling sanction screening and negative news screening on the new accounts as well as on the exisiting clients.• Responsible for preparing and reporting of PEP & Negative News documents to market compliance officer.• Review and resolve potential PEP/sanction hits relating to FXIP clients. Show less

• 

  KPMG India

  Nov 2018 - Jul 2019

  Consultant
• 

  American Express

  Jul 2019 - now

  ? Responsible for performing & leading a team of colleagues primarily engaged in New Client Onboarding ? performing Customer Due Diligence (CDD), Enhanced Due Dilligence (EDD) & Periodical Reviews (KYC Refresh). ? Collection and verification of client data in line with respective market regulator and International KYC-AML Guidelines. ? Responsible for L2 Review for PEP, Sanctions, Anti- Corruption and Negative News Screening on the supplier?s accounts against global Sanctions & PEP/Risk based watchlists. ? Responsible for preparing and reporting of true PEP and Sanctions Matches to market compliance officer and collaborate closely for further action. ? Responsible to ensure the highest standard of quality is adhered within team and at the same time drive process efficiency with outstanding practices and process improvements. ? Responsible for team?s adherence to the critical metrics and business SLA?s and maintaining detailed audit trackable dataset for production and quality. ? Maintain a close interaction with Client/Business/Market Compliance Officer as an SME in the area of AML / Compliance to resolve for any query / issues faced by the team. ? Hands on experience on tools like World Check, Banker's Almanac, Lexis Nexis, Dow Jones Factiva, Graydons, D&B, Questnet and various third party and regulatory databases such as Company House and other local regulators, company registries etc. ? Responsible for performing Internal quality check,Trainings & Production Management for the team members. ? Currently acting as CEAT (Colleague Employee Enagamenet Team) lead as well to organize and conduct various employee engagement events. Show less ? Responsible for performing & leading a team of colleagues primarily engaged in New Client Onboarding ? performing Customer Due Diligence (CDD), Enhanced Due Dilligence (EDD) & Periodical Reviews (KYC Refresh). ? Collection and verification of client data in line with respective market regulator and International KYC-AML Guidelines. ? Responsible for L2 Review for PEP, Sanctions, Anti- Corruption and Negative News Screening on the supplier?s accounts against global Sanctions & PEP/Risk based watchlists. ? Responsible for preparing and reporting of true PEP and Sanctions Matches to market compliance officer and collaborate closely for further action. ? Responsible to ensure the highest standard of quality is adhered within team and at the same time drive process efficiency with outstanding practices and process improvements. ? Responsible for team?s adherence to the critical metrics and business SLA?s and maintaining detailed audit trackable dataset for production and quality. ? Maintain a close interaction with Client/Business/Market Compliance Officer as an SME in the area of AML / Compliance to resolve for any query / issues faced by the team. ? Hands on experience on tools like World Check, Banker's Almanac, Lexis Nexis, Dow Jones Factiva, Graydons, D&B, Questnet and various third party and regulatory databases such as Company House and other local regulators, company registries etc. ? Responsible for performing Internal quality check,Trainings & Production Management for the team members. ? Currently acting as CEAT (Colleague Employee Enagamenet Team) lead as well to organize and conduct various employee engagement events. Show less

  • Compliance Manager

    Aug 2024 - now

  • Senior Process Manager

    Oct 2021 - Aug 2024

  • Process Manager

    Jul 2019 - Sept 2021