Adnan Khatib

• Managing high-performing Team of 11 professionals across APAC [India, Singapore, Hong Kong, Australia, Japan, Indonesia] responsible for supporting COLM Team in Client Onboarding, Account opening, KYC Review and Approvals.
• Team Management: Monthly One on One Discussions - Yearly Appraisal - Team Mentoring/Coaching - Work Allocation – Daily |Weekly | Monthly Call - Escalation Handling - MIS Reporting
• Direct communication with local and International clients as point of escalation concerning various client documents & Exceptional Approvals
• Define clear objectives, milestones, and deliverables for the CLM Transformation Programme.
• Drive the implementation of CLM processes and technologies to enhance operational efficiency and improve client experience.
• Contribute to process training and skills building initiatives, including the coaching and development of colleagues to support and accelerate the Agile Ways of Working.
• In-depth knowledge of Client Lifecycle Management processes, regulations, and industry best practices would be highly desirable
• Acting as CID | AML subject matter expert, providing direction to employees on appropriate remediation action for high risk, sanction entities, politically exposed (PEP), watch-list entities and so on in coordination with Financial Crime Compliance Specialist Team &Business Banking Managers.
• Supervisory Review | Quality Check to ensure appropriate documents and procedure are followed while conducting On boarding | Periodic Review - Due Diligence (Simplified, Regular and Enhance Due Diligence)
• Point of Contact for Audit & Regulatory Reporting - (Internal Audit- IA | Control Testing Assurance | Regulatory Audit) - review | walkthrough | Interview and Implementation of action plans if any suggested by audit.

Major Accomplishments:

Participated in the below Change Management Projects/ Initiatives

A. Parent Bank Merger [PBM] : 2023

APAC Lead for PBM, Involved in Project as a Lead with regards to Integration planning and implementation, ongoing project. roles and responsibilities included : Integration milestone planning, UAT Testing, GAP Analysis, Suggestion of possible solution and Interim workarounds, Leading various working groups etc.

B . TARGET OPERATING MODEL [TOM]:

Participated in the TOM Initiative where the objective was to clear the Misalignment between the 3 lines of Defense [ 3 LOD]

Since the Project is very huge and requires dealing with various stakeholder it is further divided in various 3 phase.

• Phase 1&2 :Global Markets [GM] , Investment Banking Capital Markets [IBCM] & Asset Management Business Lines:
• Redefined Roles and responsibilities of 1 LOD and 2 LOD and Trainings were provided to the various stake holders on the new roles and responsibilities
• Budgeting and Headcount analysis were done basis on new roles and responsibilities basis on which 7 Headcount were transferred from 2 LOD to 1 LOD.
• Phase 1 & 2 went Live in Sep 2020.
• Phase 3: Setting up Controls for Compliance Operations [ 2 LOD]: Key Objectives that are covered are below
• Defining of Compliance Checks
• Designing of the APAC Quality Framework
• Customization of Tactical Solution [ Genesis] to capture and report KYC Quality metrics across APAC IB Lifecycle Verification Control
• Phase 3 went live in 2022

C. FENERGO: 2019

Nominated as Point of Contact and Train the Trainer for APAC Compliance operations, roles and responsibilities included: UAT Testing, GAP Analysis, Suggestion of possible solution and Interim workarounds, Train the wider APAC Compliance Operation team on Fenergo.

• Team Management: - Monthly One on One Discussions - Yearly Appraisal - Team Mentoring/Coaching - Work Allocation – Daily/Weekly/ Monthly Call - Escalation Handling - MIS Reporting
• 4 Eye Checker – Quality Control Check for following regions: APAC, EUROPE, MEA, and USA
• Perform KYC on Simple due diligence, Regular due Diligence and Enhanced due diligence (Low, Medium and High Risk) Clients
• Communicate to the Regional Head of AML any change in local documentary and Global CIB KYC Due Diligence requirements for AML purposes
• Contribute to high-quality client on-boarding processes from a documentation standpoint, across all asset classes
• Conducting research on the company’s sites, regulators, registrars, exchanges etc
• Reaching out to business for missing and additional documents to ensure all information on profile is complete and accurate
• Performing due diligence, through Local Blacklist, Lynx, Vigilance, Side safe watch, World check, Internal database on the clients to screen any negative news
• Performing enhanced due diligence through global application
• Analyzing the client’s Financial Statements & Annual Reports to identify the financial ability
• Reporting/Escalating issues to MLRO, AML-Compliance team Onshore
• Expertise in using global applications i.e.,Bankers Almanac, Mint Report, Zawya, Companies House, World Check, Alacra, Bloomberg, Reuters, Banker’s Almanac, LexisNexis, D&B, & Factiva
• FATCA Classification and reporting.

Major Accomplishments:

• Travelled to Middle East - Bahrain and London for Remediation Project successfully completed the project on time
• Successfully migrated the process from London/Paris and Bahrain to Mumbai.
• Lean SPOC for Client Management Operations
• Appreciated by Global Head for Handling the Transition policy and procedure and implementing the same with Mumbai Team.