Sumalatha Sesetty

KYC Project:

• Experienced in Customer Identification Program (CIP), Simplified Due Diligence (SDD), Basic Due Diligence (BDD), Enhanced Due Diligence (EDD).

• Experienced in client on boarding/remediating individual’s and Non individual customers

• Compare and contrast differences within KYC records, highlight and escalate any discrepancies.

• Active participation in regular review of operational procedural changes

• Responsible for conducting process training to the new hires and ongoing trainings on process related updates

• Responsible to conduct internal quality checks , to ensure the project is audit compliant

AML Project:

• Experience in AML alert investigation and analysis
• Good Understanding of AML Regulations, industry trends, red flags, typologies for individual and non-individual clients
• As a Lead for L1 analysts Identified unusual activities (or) transactions that could indicate money laundering would require routing to L2 team for further investigation.
• SME and point of contact for the team members to address the queries related to the process
• Trained in UK specific processing/ regulations requirements
• Ensure client files pass through all quality and control reviews.
• Active participation in regular review of operational procedural changes
• Ensure team achieve productivity and quality targets month-on-month
• Improved team morale and motivation through positive reinforcement and team-building activities
• Manage day to day operations and solely responsible for activities like Work Allocation, Leave Management, Appraisals, conducting ongoing training and tracking weekly performances of the team I handled.

• Analyzed customer service data to identify and address customer service issues, resulting in improved customer experience
• Resolved customer disputes and complaints quickly and satisfactorily, resulting reduction in customer complaints
• Processed customer transactions accurately and efficiently, resulting increase in daily sales
• Resolved customer complaints quickly and professionally, resulting decrease in customer escalations

• Scheduled appointments and meetings, ensuring the smooth flow of daily operations
• Managed branch operations, including scheduling staff and coordinating customer visits
• Provide service to HNI clients
• Support to the wealth managers by providing necessary information about the procedures and the documentation to open a wealth, trading and bank Accounts

• Provided administrative support to management, resulting in improved efficiency in daily operations
• Resolved customer complaints and disputes in a timely and professional manner
• Developed and maintained long-term relationships with clients, resulting increase in customer loyalty and satisfaction
• Collaborated with cross-functional teams to ensure customer needs were met
• Reporting of Daily MIS