ASHISH PRADHANE-Mail: ashish_raj64@yahoo.com Mobile: +91-7406336111

CAREER OBJECTIVE: To achieve an appreciable status in an organization that offers full scope for growth and where I can fulfil my aspiration of becoming a world class professional.

PROFESSIONAL OVERVIEW A value driven and highly accomplished professional with 8+ years of work experience in Investment Banking and

Financial services expertise in KYC, AML, Client On Boarding, Remediation and Risk Management Areas of Exposure include:- AML, KYC, PEP, EDD, CDD, MDD, Periodic Review, Remediation, OFAC sanctions, Regulatory

Compliance, Project Management and Team Handling Experience in Account and Transaction level investigation, including suspicious activity monitoring and filing of SARs. A thorough professional with a proactive attitude, capable of thinking in and out of the box, generating new design

solutions and ideas. Good understanding of the statutory and regulatory norms applicable to banking operations with focus on Corporate&

Investment Banking.

EMPLOYMENT RECORDJP MORGAN CHASE BANK (CLIENT), BANGALORE (INDIA) Team Lead/Deputy Manager (B3) in WIPRO from (Oct 2014 to Till Date) PROCESS: Wholesale Client on boarding- KYC Remediation (Case Lead)

Provide KYC Support - Review of new Records and renewal of old files. Ensure and maintain high quality standards for KYC and Enhanced Due Diligence (EDD) casework. Perform a risk assessment and determine the level of risk, Understand laws and regulations. Performing screening for OFAC sanctions/pep/adverse media screenings. Risk based audit methodology, Annual risk assessment and audit planning. Interaction with Business, Operations and AML Compliance management. Part of KYC Remediation Project for EMEA/APAC region and doing KYC for Clients like Corporate, NBFI, RBA, Banks etc. Identifying and verifying the legal existence of clients, ascertaining risk classifications based on various factors like type

of business, country of operation, politically exposed person, etc. Handling a team of Analyst and Sr. Analyst and providing subject matter expertise to all. Educate on the policies and procedures and communicate awareness across process. Good Knowledge on Ownership drilldown for Parent, Ultimate Parent, UBO’s, Fund Linkage etc. Handling KYC processes for Corporate & Investment Banking clients and apply relevant country specific standards Ability to handle different risk level of customers (high, medium & low) Experience in various third party application tools like ZAWYA, HKMA, ASIC, ACRA, ICRIS, Lexis Nexis, Bankers Almanac,

Company House and external Web sites like – Bloomberg, Secretary of States, and Company Registries etc. Maintaining MIS Report for APAC & EMEA Team and deliver to Client and management every day Giving Training to All new Joiners for APAC Team like Types of Clients for KYC, Screening, Risk Assessment, tools,

Ownerships Drilldown, CDD, and EDD Etc. Worked in UAT System Implementation environment for testing of application and tools and also SPOC for UAT tools.

DEUTSCHE BANK GROUP, JAIPUR (INDIA) Process Supervisor from (July 2013 to Oct 2014) PROCESS:-Client on Boarding – New Client Adoption-(KYC-NY)

Worked as Internal Auditor in CAG team for Global Corporate Clients like- (High, Medium and Low) with a focus on regulatory compliance in prevention of money laundering and terrorist financing Activities.

Experience in KYC Remediation, Periodic Review, RDC look back, Alert Review, Account Opening, Global Client On boarding and Anti- money laundering (Monitoring /Sanctions) that require skills to review client’s files to ensure that all KYC and AML documents and information are complete and accuracy.

Worked as Trainers for New joiners for Client on boarding team and also acted as SME for entire Process. Conduct Enhanced due diligence (EDD) for High Risk Industries, High Risk Countries, OFAC sanctions, PEP, UBO and

Controlling Person.

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Exposure to Web based applications like Regulatory Data Corp.(RDC), PCR(Norkom), Lexis Nexis, FINRA, IAPD, SEC, Government Registries, Secretary of States, Company Registries etc.

Knowledge of AML compliance requirements coupled with knowledge of financial services products and related processes (e.g. Fixed income, Time Deposit, Collateral Management, Domestic Cash & Equity, Repos, OTC Derivatives, Loan Trading, capital markets etc)

Knowledge in Regulatory aspects such as Anti Money Laundering legislation, Bank Secrecy Act (BSA), Dodd Frank, FATCA, USA Patriot Act, EMIR Regulations, OFAC, Investment Advisors Act of 1940, FINRA, Securities Act of 1933 & 1934, ISDA Master Agreement, legal research techniques and basic civil procedures

Sound knowledge across multiple client types (FIG/Corporate) and Fund/corporate structures (Charities, Hedge/ Mutual/ Pension Fund, Banks, Trust, Banks & Foreign Banks, Partnership, Broker Dealer, SPV’s, Private Companies, Govt entities, LLC, LP, LLP, Regulated Entity, etc)

BT GLOBAL SERVICES, GURGOAN (INDIA)Contract Management from (Feb 2012 to Mar-2013)Process: Risk & Compliance Management- Revenue Assurance

Key Responsibilities: Responsible for ensuring product compliance with regulatory requirements for product safety Develop and implement risk management strategies to improve overall compliance of BT Global Manage contractors providing Risk Management & Compliance support for key initiatives and projects. Handled Different UK Enterprises Contracts like Royal Mail, Sainsbury’s, NHS etc as per telecom Regulatory Ensure customers compliance expectations are met or exceeded through delivery of services or projects. Negotiations with vendor, Making Proposal, and CAF for clients as per contract agreement. Coordination with BT vendors for flawless Procurement & delivery of ordered Equipments. Worked across other quality groups to bring a common understanding to compliance. Worked with Risk Management Department and Finance to coordinate requirements. Worked with Finance to ensure adherence to broader finance and risk requirements such as revenue recognition, pricing

and discounting policies, export controls etc. Knowledge of BT people software’s i.e. BT Wholesale, eCo-Broadband, Royal Mail, Expedio, CSS, Cosmoss, I-Buy, Diplomat

etc. for Order processing. Knowledge of BT Products like ADSL2+, FTTC, IP Stream, IP Clear, and PSTN Etc.

BANK OF AMERICA , GURGAON (INDIA ) Worked as Sr. AML/KYC Analyst from (Feb 2008 to Jan 2012) PROCESS: Compliance Processing & Monitoring- Transaction Monitoring (SAR)Key Responsibilities

Worked in Anti Money Laundering (Monitoring) and Customer Identification Programs (CIP) profile for Bank of America RA/NRA US Customers as per Anti-money laundering and USA Patriot Act Guidelines to prevent financing of terrorist operations money laundering. Process is to make customer complied under guidelines issued by internal / external regulator and KYC.

Verify every customer as per FINRA Guidelines on the basis of Credit Score and financial history. Worked on applications like Accurint, TransUnion, Equifax, Experian Lexis Nexis, FINRA, IAPD, SEC, EDGAR and, State

Registries etc Worked with Account opening Team for US retail Customers for Saving, Checking, Certificate of Deposit (CD) and Fund

Transfer from new or Existing Account. Verification of customer details through different Tools and provide services as per customer Request and managing critical

transactions such as cash surrender, disbursements, Fund withdrawal and fund Release. Subject Matter Expert for the process and lend help on floor whenever required Responsible for sharing any system related issues with management on a priority basis. Maintaining MIS Report for entire process and deliver to Client (LOB) every day.Attainments: Awarded for the initiatives taken, received appreciations from the client in the form of mails, received gifts from the client

side. Awarded with Best Trainee In Bank Of America In My Batch In April 2008 Has been the top performer at delivering Quality performance in 2009

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Awarded with Gold Award in Q2 2010 for Best Performance in the process level. Awarded with Bronze Award in Q3 of 2011 for best Quality Performance.

EDUCATIONAL QUALIFICATION MBA-Finance from Jaipur National University in June 2015 Graduation (BSc-IT) from SMU University in October 2006 3 Yr Diploma in Software Engineering from APTECH in Aug-2006 HSC (12th) from CBSE Board New Delhi in June 2003 SSC (10th) From ICSE Board New Delhi in June 2001

CERTIFICATION Six Sigma Green Belt Certification from MSME (Govt Of India)-Bangalore in 2015 Contract Management Certification from British Telecom- Gurgaon in 2012

SKILLS AML Transaction Monitoring OFAC Sanctions Compliance PEP and Negative News Screening Enhance due diligence (EDD) Broker Dealer Compliance AML Risk/GAP Assessment Suspicious activity report (SAR) Service Request Management. Process/Project Migration AML Alert Investigation

HOBBIES Travelling to places of scenic beauty, net surfing, Music, Swimming. Sports such as field events, Badminton, Cricket and Volleyball.

PERSONAL DOSSIER Father Name : Vishwanath Pradhan Date of Birth : 06 Aug, 1986. Language Known : English and Hindi Nationality : Indian Civil Status : Male (Single) Passport No : P5301932 Passport Expiry : October-2026 Mailing Address : FB-2, Swapnanarika Saikrishna Apt, Sarjapur main Road Bangalore-562125

Acknowledgement:

I solemnly declare that the statements made by me in this form are correct to the best of my knowledge & belief. Given an opportunity, I will work to the best of your Satisfaction.

Place: - BangaloreDate: - (ASHISH PRADHAN)

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