Ashish Moondra, CAMS, CGSS

Experience

• 

  Deutsche Bank

  Aug 2013 - Aug 2016

  Senior Business Analyst

  >Team-Global Markets New Client Adoption London – Quality Assurance (KYC Background) COB>Reviewing and Collecting KYC documents of Government, SPV’s, Private, Listed, Regulated clients. Risk–Medium, High with applicable Regulatory Requirement. Adoption of Clients before TAT providing100% Client Centricity.>Reviewed Articles of Organization and LLC Operating Agreements, Articles of Incorporation, Bylaws, Share Registries, Board Resolutions and Meeting Minutes, Ownership Structure, Certificate ofIncumbency.>Completed projects pertaining to client reviews, such as periodic reviews of client activity, reviews of high-risk clients, reviews of foreign financial institutions.>Command on DODD FRANK, EMIR, FATCA.(performing 4Eye Checks on Self Certificate forms FATCA). EDD on Tax Forms.>Preparing O/S Reports, Unallocated Reports (Excel), Work allocations across Onshore.>Team Escalations and Error handling with analytical skills, people management. Show less

• 

  JPMorganChase

  Sept 2016 - Jul 2020

  Team Lead

  Compliance OperationsNAM-Markets - Renewals/Remediation, Management reporting.

• 

  Société Générale

  Aug 2020 - Apr 2022

  Compliance Control Lead

  2nd Level Controls Financial Crime Compliance

• 

  Wells Fargo

  May 2022 - now

  • Lead Business Executive Vice President

    Aug 2023 - now

  • Senior Business Executive

    May 2022 - Aug 2023