Abhijeet Kumar Roy, GRCP

Experience

• 

  Infosys

  Sept 2008 - Sept 2010

  KYC:• Onboarding Individua Customers.• Updating altering bank details of customers after validating the authenticity of the request.Investment Banking:• Opening Trading accounts for individual customers. • Buying as selling of shares as per customer request.Awards:• Received RAMP award for top performance. KYC:• Verifying customers based on supporting documents. • Address and signature verification. • Verify the authenticity of change requests. • Onboarding Individual customers.Training: • Provided training to peers on signature validation.Awards:• Received Extra Miler Award for handling multiple queues and training peers.

  • Senior Process Executive

    Oct 2009 - Sept 2010

  • Process Executive

    Sept 2008 - Sept 2009
• 

  Cognizant

  Sept 2010 - Sept 2011

  Senior Process Executive

  KYC:• Onboarding Individua Customers.• Updating altering bank details of customers after validating the authenticity of the request.Investment Banking:• Opening Trading accounts for individual customers. • Linking prospect customers with the various funds with due diligence.• Addition and deletion of contacts for the sake of flow of authority for the beneficiary of ultimate investors.

• 

  Wells Fargo

  Oct 2011 - Mar 2022

  KYC, AML & Compliance:• Perform quality checks on customer risk summaries of multilaterals.• Conduct periodic revies and prepare customer risk summary for Central Banks of EMEA & META regions to assists LOB in making relationship approval decisions. • Conduct risk assessment by monitoring regulatory and agency websites to identify regulatory changes.• Create and work on alerts identified for regulatory changes to support the legal department.• Conduct compliance calls with AML/Legal department of high-risk clients for latest updates/changes in AML/ABC/CDD policies.• Conduct regulatory calls with legal department to discuss the investigations and to identify regulatory impacts, if any.• Perform enhanced due diligence for entities domiciled/transacting with high-risk jurisdictions or entities with member states in high-risk jurisdictions.• Assists US CDD team to flag PEPs manually for Central Bank Board of Directors/Executive management team.• Conduct screenings (PEP/Hotlist/Sanction) through GSMOS (Global Sanction Monitoring Operating System) and adhere the US regulations.• Conduct stakeholder calls and provide feedback/updates/presentations to Senior Regional Risk Officer (London) regarding red flags, high risk attributes and negative news investigations.• Provide SME support to a team of 11 team members.• Provide training and conduct assessments for new and existing team members.• Stakeholder management / Dotted reportingAwards: • Received Champions award for high performance and training peers. Show less KYC & AML:• Conduct periodic revies for multilaterals entities of EMEA & META regions.• Conduct compliance calls with AML/Legal department of clients for latest updates/changes in AML/ABC/CDD policies.• Prepare Enhance Due Diligence agenda for clients to have a better insight about the various policy updates.• Conduct screenings (PEP/Hotlist/Sanction) through GSMOS (Global Sanction Monitoring Operating System) and adhere the US regulations.• Investigate Negative news/Adverse media checks for clients and provide narrative disposition based on the scenario (corruption, fraud, investigation, allegations, regulatory or news articles). • Provide mitigating rational comments on investigations to Senior Regional Risk Officer.• Liaise with Relationship Managers for additional information on entities, schedule compliance calls and risk rating assignment.• Analyse ERAM risk ratings and align with country risk ratings based on various risk factors.Awards: • Received Best Table Topics award from Toast Masters Chennai.• Featured in Wells Fargo Bulletins for 3 consecutive years for living Wells Fargo’s values (Social commitment). Show less KYC:• Conduct periodic revies: Preparation of Relationship memorandum/ Customer Risk Summary of financial institutions and multilateral agencies of EMEA region.• Support CDD Team to Onboard Multilateral Entities.• Prepare High Risk Attribute forms (HRA) for institutions with a presence and/or dealing in high-risk jurisdictions• Prepare corruption analysis report based on Country Risk Reports and corruption index published globallyAwards: • Won 8 Lime Light Awards in annual Lime Light events Show less

  • Compliance Senior Associate

    Jul 2021 - Mar 2022

  • Business Risk and Control Associate

    Dec 2019 - Jul 2021

  • Financial Crimes Analyst

    Apr 2017 - Dec 2019

  • Senior Financial Analyst

    Oct 2011 - Mar 2017
• 

  Standard Chartered Bank

  Mar 2022 - now

  Manager Private Banking