Summary
Overview
Work History
Education
Skills
Academicpursuits
Systemexperience
Certification
Timeline
Generic

Shalabh Saxena

CAMS
Singapore

Summary

Over 15 years of work experience with leading Transnational Financial Institutions - JP Morgan Chase, Barclays Capital and Bank of America. Extensive functional and processing knowledge of Corporate and Investment Banking for clients including Commercial Clients, Money Services Businesses (MSB), Correspondent Banking Clients, Capital Market Intermediaries, Clearing Institutions. Strong knowledge and experience of Risk & Compliance Case Management System implementation, Detection Channel Model Enhancements & Implementations, Client Risk Assessments, Client Activity Monitoring. Adequate exposure in Anti-Financial Crime Investigations, large scale Strategic Projects and System Implementation e.g. Upgrade of Investigative Case Management System and Transaction Repository System.

Overview

19
19
years of professional experience
3
3
years of post-secondary education
1
1
Certification

Work History

DIRECTOR GFC INVESTIGATIONS MANAGER

Bank of America
11.2011 - Current
  • As GFC Manager - Develop financial crime intelligence framework to identify and address financial crime threats that have an impact to Bank of America
  • Developed high-performing teams by providing mentorship, guidance, and opportunities for professional growth.
  • Cultivated a positive work environment that fostered employee engagement, increased retention rates, and boosted overall team morale.
  • Enhanced team collaboration through regular communication, goal setting, and performance evaluations.
  • Liaise with risk owners and country FCC to perform business and change risk assessment
  • Management and support for internal and external audits and regulatory examinations and associated MRAs and MRIAs
  • Drive spearfishing with a focus on organized crimes such as Terrorism, Human Trafficking, Wildlife Trafficking and Pornography
  • Provide consultation services to stakeholders including analysis of business processes and strategic risk identification parameter enhancements
  • Provide approvals for GFC investigative reports prepared by investigations team.
  • Curated intelligence and typology driven investigations as well as special projects with focus on trending and upcoming threats
  • Implement policies and procedures to manage firm's exposure to financial crimes across Non-US region
  • As Product Owner of enterprise owned system of records for AML and Fraud, drive prioritization of projects and enhancements
  • Manage both operational and strategic change throughout Global Financial Crimes Compliance to achieve project benefits including process effectiveness and efficiency
  • Lead country teams to seek regulatory approvals for data and process outsourcing for statements of work
  • Direct and coordinate business change activities associated with proper change management allowing smooth transition and implementation
  • Conduct required fact gathering and qualitative data analysis to document and quantify benefits
  • Engaged in development and periodic reviews for appropriateness of framework to monitor financial crime developments impacting firm
  • Worked on enterprise-wide operational transformation initiative to migrate centralized financial crime hub to in-country operations

SENIOR KYC ANALYST

Barclays Capital Services Limited
09.2007 - 10.2011
  • Implemented enterprise level client on-boarding tool
  • Managed policy and procedural updates and amendments as required by global regulatory KYC requirements in conjunction with industry's best practice
  • Provided management reporting coverage pertaining to KYC breach by different business units and BAU productivity by team
  • Ensured fulfillment of section 312 and 319 by Non US clients as per USA Patriot Act guidelines and also MIFID requirements for clients doing business in Europe
  • Conducted periodic reviews of clients who are politically exposed and have PEP status or who are based in high risk jurisdictions.

KYC ANALYST

JP Morgan Chase India Pvt. Ltd
03.2006 - 06.2007
  • Completeness of client onboarding in accordance with AML/CFT guidelines for Non-US regions
  • In-charge of policy framework per country specific regulatory requirements
  • Driven management reporting on remediation queues along with recertification of existing clients
  • Fulfillment of document requisitions while liaising with middle office/sales support teams
  • Maintained high quality standards of remediation and recertification process while managing workflow/backlogs.

Education

Bachelor of Commerce - Accounting And Business Management

Panjab University
Chandigarh, India
03.1998 - 04.2001

Skills

Project Management

Operations Management

Team Management

People Management

Project Coordination

Partnerships and Alliances

Issues Resolution

Rules and regulations

Problem-Solving

Decision-Making

Academicpursuits

  • Post Graduate Diploma In Business Administration, 05/2004
  • Bachelor of Commerce, 05/2001
  • High School Certification, 03/1998
  • Secondary School Certificate, 03/1996

Systemexperience

In-house system of records for AML and Fraud, Mantas, SAS, SASPLEX, Wire-Watch, In-house Automated Detection Channel Platform, Teradata, Hadoop, Pega GIN, World-Check, Safe Banking System (SBS), Thomson Reuters, Enterprise Social Networking, Skype for Business, SharePoint, Workday, JIRA, MS Word/Excel/PowerPoint/Visio

Certification

CAMS

Timeline

CAMS

01-2017

DIRECTOR GFC INVESTIGATIONS MANAGER

Bank of America
11.2011 - Current

SENIOR KYC ANALYST

Barclays Capital Services Limited
09.2007 - 10.2011

KYC ANALYST

JP Morgan Chase India Pvt. Ltd
03.2006 - 06.2007

Bachelor of Commerce - Accounting And Business Management

Panjab University
03.1998 - 04.2001

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Shalabh SaxenaCAMS