Shalabh Saxena
Summary
Father and Husband. Anti-Financial Crime Expert. Certified Anti-Money Laundering Specialist with a demonstrated history of working in the anti-financial crime and compliance. Skilled in Anti-Financial Crime, Analytical Skills, Risk Management and Project Management. Strong business development professional with a Bachelor's degree focused in Business/Commerce, Account and a Post Graduate Diploma in Marketing and Sales.
Overview
20
20
years of professional experience
Work History
Vice President Sr. GFC Investigator
Bank of America Singapore
11.2011 - Current
- Product Owner for the AML/Fraud case management and transactions repository systems for the Bank of America Non-US.
- In-charge of the development of a new case management system. This new tool is a Bank-wide upgrade from current application and is being built with a focus on core requirements from the investigators, MLROs, Quality Assurance, management as well as from reporting perspective.
- Engaged in the development and periodic reviews for appropriateness of framework to monitor financial crime developments impacting the firm.
- Work closely with the Enterprise Risk Analytics for detection channels model reviews and enhancements.
- Assist in implementing policies and procedures to manage the firm’s exposure to financial crimes across the Non-US region.
- Conduct reviews and provide approvals for the investigative reports prepared by the investigators for the involved Non-US countries.
- Develop financial crime intelligence proactively to identify and address financial crime threats that have an impact to Bank of America.
- Conduct spearfishing with a focus on organized crimes such as Terrorism, Human Trafficking, Wildlife Trafficking and Pornography.
- Carry out intelligence and typology driven investigations as well as special projects with a focus on upcoming threats such as CoVID-19 and Crypto-Currencies.
- Collaborate with regional AML / CFT teams to address significant financial crime risk and emerging threats.
Senior KYC Analyst
Barclays Capital Services Limited
09.2007 - 10.2011
- Ensured smooth KYC process and on-boarding of new clients of Barclays while adhering to the international and local AML guidelines for APAC regions.
- Strategic inputs into 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 the team.
- Ensured fulfillment of section 312 and 319 by Non US clients as per the 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 a PEP status or who are based in high risk jurisdictions.
KYC Analyst
JP Morgan Chase India Pvt Ltd
03.2006 - 06.2007
- Completeness of a client’s KYC (Know Your Customer) in accordance with the Anti Money Laundering provisions for all Non-US region.
- In-charge of policy and policy updates per regulatory requirement changes.
- Driven management reporting on remediation queues along with the recertification of the existing clients.
- Fulfillment of document requisitions while liaising with the middle office/sales support teams.
- Maintained high quality standards of remediation and recertification process while managing the workflow/backlogs.
Education
High School -
Kendriya Vidyalaya
Chandigarh, IndiaBachelor of Commerce - Accounts And Economics
Panjab University
Chandigarh, IndiaPost Graduate Diploma - Marketing And Sales
Symbiosis Centre For Distance Learning
Pune, IndiaSkills
- Analytical Skills
- Risk Management
- Project Management
- Problem Solving Abilities
- Interpersonal Skills
- Self Driven
- Self Motivated
- Strong Work Ethics
- Open Mindedness
Team Sports, Gaming, Cycling
Love to play outdoor sports such as cricket and football. Cycle around 100-150 km a week to keep myself active and lastly, love to play games on playstation games with my son.
Timeline
Vice President Sr. GFC Investigator
Bank of America Singapore
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
High School -
Kendriya Vidyalaya
Bachelor of Commerce - Accounts And Economics
Panjab University
Post Graduate Diploma - Marketing And Sales
Symbiosis Centre For Distance Learning