Summary
Overview
Work History
Education
Skills
Certification
Residential Status
Timeline
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SREENIVASA

Singapore

Summary

Highly accomplished AML Compliance Professional with over 12 years of International and multicultural experience in building Established positive and effective relationships with Operations, Business, Technology and Compliance teams. Financial Crime Compliance (FCC) and hands on experience in Anti-Money Laundering (AML), Transaction surveillance, Sanctions, Client Due Diligence (CDD), Fraud Risk Management, Business Advisory and Risk Assurance Policy Implementation Programs. I possess strong critical thinking, analysis, and problem-solving skills across Line of Defensive 1 and 2. Experience on various financial crime regulatory engagements, with cross-functional and cross-jurisdictional teams in regional and global environments. Assisted in formulating the review process of AML/CDD policies and procedures and supported the Executive Client on-boarding committee on high-risk client segments. Managed and delivered changes from both. ‘Run the Bank & Change the Bank’ perspective. My passion revolves around coming up with effective and efficient ways to identify financial crime threats, solving business problems with relevant functional, FinTech and digital solutions.

Overview

21
21
years of professional experience
1
1
Certification

Work History

Sr. Compliance Manager – Financial Crime Compliance

UOB
03.2023 - Current
  • Provided advisory on AML Client Onboarding as well Transactions Monitoring for APAC countries to implement AML Uplift Program
  • Handled ASRTF Strategic Program from End-to-End process flow approvals to align MAS and other Regulatory streams
  • Involved and assisted KYC, Client Due Diligence process workflow with Key stakeholders to align the Business flow for Uplift Program
  • Validated the Ongoing PRR and TRR Review for Client Review for APAC as part of the BAU
  • Involved in updating AML Procedures to align current BAU across all APAC countries
  • Provided help to countries on Dispensations and Country Addendums for Run the Bank and Change the Bank
  • Updated Scenarios, Rules, and Parameters for existing TM systems to align regulatory requirements for APAC
  • Manage and validated Business and Functional Requirements for AML Up Lift program for APAC as part of Compliance and Regulatory Requirements
  • Involved and supporting PSC,PWC , ORMC and GC Compliance on Program and upcoming activities as part of AML Uplift
  • Handling Team to align the deliverables for AML and FIEDD to uplift global Policies and Procedures for APAC COE
  • Provided and helped regions on COE process Gaps to align process and Procedures for FIEDD
  • Handled QR/CRs as part of Change management for APAC Client on Boarding and Transaction Surveillance

Sr. Compliance Manager - Financial Crime Compliance

UOB
09.2021 - 10.2022
  • Handling Consent, Real-Time Payments, Real-Time Debit for UOB Pay, UOB Send, Cross Border Payments as part of PDR
  • Manage and Prepared Business Requirements for Consent, RTP and RTD as part of Regulatory Requirements
  • Provided advisory on AML and Sanctions for APAC countries to implement COE manuals as well as Business as usual Prepared
  • Handling Team to align the deliverables for AML and FIEDD to uplift global Policies and Procedures for APAC COE
  • Provided and helped regions on COE process Gaps to align process and Procedures for FIEDD
  • Handled Change Management for APAC Client on Boarding and Transaction Surveillance
  • Handled Daily, Weekly and Monthly Meetings for COE Projects as well as Business As usual for AML& Sanctions
  • Involved in for Process notes implementation for On Boarding and Ongoing -APAC
  • Handled Tech team, Squad leads Product Owner for PDR and UOB Pay Features, Story writings to align PDR Functions
  • Prepared BRD for Transaction Monitoring as part of Chang Management

Sr.Compliance Manager – Financial Crime Compliance

MUFG
09.2020 - 07.2021
  • Provided advisory on AML and Sanctions for APAC countries to implement COE manuals as well as Business Controls
  • Handling Team to align the deliverables for AML and FIEDD to uplift global Policies and Procedures for APAC COE for Quality Management
  • Advised and involved in the GRC and Quality check to align Global and Local Policies and Procedures
  • Validated Country addendums and Dispensations for APAC regions
  • Validated and verified SOPs by Courtiers and regions from Operations Team
  • Facilitated and advised on Bankers queries Client requirement as part of periodic reviews
  • Provided and helped regions on COE process Gaps to align process and Procedures for AML Projects
  • Handled Daily, Weekly and Monthly Meetings for COE Projects as well as Business As usual for AML& Sanctions

AML Compliance Manager | Financial Crime Compliance

JPMC
03.2019 - 12.2019
  • Handled onboarding process workflow for HNW clients with Bankers to align CDD and PRR Reviews
  • As part of the BAU provided advisory to countries and regions on Client on boarding for WM streams
  • Handled Project plan and Requirement elicitation for Digital Transformation Program
  • Handling Digital Transformation program and managing a team for APAC for Client onboarding
  • Handled Scrum Daily, Weekly and Monthly Meetings for Digital Data Projects
  • Handled Daily stand-up meetings to track the project progress for AWM
  • Provided Daily Status updates and MI on Project progress for Digital Transformation

AML Compliance Manager| Financial Crime Compliance

SCB
10.2016 - 11.2018
  • Involved in FCC Business Advisory on ICDD implementation for One Bank procedures
  • Involved in Process Notes, On Boarding, Ongoing, Off Boarding Modules
  • Provided advisory and support to the 1stLine of Defense through monitoring and assurance checks on onboarding process
  • Provided Business advisory to Countries and Regions as part for FCC LOD 2 for One CDD program
  • Handling FCC PG meetings, Follow up with Regions on issues on PEP, Sanctions, HNW, Name Screenings, SAR
  • Extensively handled ICDD and FCC Training for Malaysia
  • Advised and validated ICM, RTOB, RBCDIR, GNS, Detica, PDS interfaces for ICDD implementation
  • Interacting with GPSCU Activities for UAT and RFI issues for ICDD
  • Involved in One Bank and Retail segment addenda
  • Advised and validated Dispensations for MY, SG and UAE
  • Involved in Data remediation for ICDD migration for Malaysia, Singapore, UAE, India, and HK
  • Extensively involved in CRA BRD, FSD and logic validation for ICDD implementation
  • Involved in Detica, GNS implementation for ICDD as per Screening Procedures
  • Provided advisory to countries on FCC Retail Current BAU activities
  • Handled FCC PG meetings, involved in AML PSC
  • ICDD and ICM PSG’s
  • Involved in Fraud risk Systems implementation for Retail and Private Banking
  • Involved in FRM Frame and validated the Data and requirements to align FRM procedures
  • Handled Fraud Datla Lake framework for Haas implementation for Fraud Data Analytics

KYC Business Process Manager| WM

Deutsche Bank
01.2016 - 09.2016
  • Gathered Business requirements globally for APAC 14 countries including high risk countries and other Governance related parties for KYC and COB remediation
  • Follow up with 14 countries on KYC and policy implementation with each country COB Heads on status to target the release
  • Organized and led workshops with Business Heads and Senior Stakeholders Compliance groups for analyzing detailed business requirements (BRD) on KYC, CDD, ECDD, PEP for KYC policy 1.1 implementation
  • Extensively involved in KYC remediation process and follow up on Project Mgt, Gap analysis, local addendum, and templates

Lead Business Analyst| MBS

Comtel
09.2014 - 11.2015
  • Facilitated Business and Business and Functional requirements globally from various regions like Las Vegas, Macaw and Asia and other Governance related parties for Patron on boarding and Patron Monitoring
  • Organized and led workshops with Business Heads and Senior Stakeholders, Vendor Group (Fiserv) Casino Finance, Financial Crime Compliance groups for analyzing detailed business requirements (BRD) on KYC, CDD, ECDD, PEP and Ongoing Transaction Monitoring modules
  • Extensively involved in GRC framework for Local and Global Sanctions questionnaires and Procedures
  • Handled Sanctions requirements as per CRA requirements for Macaw, LVS and Singapore testing teams
  • Actively prepared AML on boarding, ongoing scenarios, and rules for LVS, Macaw, Singapore teams and provided clarification on the business requirements

Sr. Business Analyst

Standard Charted Bank
05.2013 - 08.2014
  • Gathered Business requirements globally from various regions like MEPA, NE Asia, SE Asia, and other Governance related parties for e CDD
  • Organized and led workshops with LBG’s Business Heads and Senior Stakeholders for analysing detailed business requirements (BRD) and provided solutions by generating Functional Specification Document (FSD)
  • Ensured enhancements delivery within given business timelines by tracking project plan closely with the development and testing teams
  • Extensively involved in and handled Sanctions, prohibited entities, Defence goods policy, Risk calculation Modules for e CDD
  • Updated CDD modules based on Local and Global sections policies and procedures guidance notes
  • Supervised and actively participated in resolving the issues encountered by Development and Testing teams and provided clarification on the business requirements
  • Handled workshops with various Regions, DRR and e CDD teams, actively involved in preparing e CDD BRDs for Major and Minor releases
  • Involved in FATCA BRD preparation along with FATCA team to align the requirements with e CDD
  • Extensively involved in validating functional specifications deployed by the Technology team to align with the Business Requirements
  • Handled Regulatory reporting for CDD Internal and external Reporting
  • Handled (CCB) Change control board meetings on monthly base to prioritize the requirements with Regional and Country Heads, conducted SIT|UAT|UVT for Major and Minor releases

Sr. Business Analyst

Ministry of Health and Finance
03.2012 - 04.2013
  • Gathered Business and Functional requirements from various users like MOF, HPB, SQI, HSA and other Governance related parties for Analytics Services Project
  • Ensured enhancements delivery within given business timelines by tracking project plan closely with the development and testing teams

Business Analyst

DBS bank
05.2011 - 03.2012
  • Gathered Business Rules/Formulas for Scoring from users using BPM (TIBCO process Decision Studio 4.0
  • Extensively involved and follow up with Developers to understand flow between OSCA and TIBCO BPM
  • Explained the flow of Request and Responses from TIBCO BPM and OSCA
  • Demonstrated to developers and Testers, how 14 interfaces data used for calculating Credit Score in TIBCO BPM Tool (process Decision Studio 4.0)

Business Analyst

Citi bank
05.2010 - 05.2011
  • Gathered business and functional requirements from EMEA regions
  • Validated Quick Screen AS IS requirements from Regional Managers
  • Tuned TO BE requirements for Manta’s implementation
  • Prepared requirements traceability matrices for EMEA regions
  • Validated Transaction Codes, Transaction channels through Data Base
  • Extensively involved in meetings and Call conversations for T-Code reconciliation

Business Analyst

Online Business Systems
02.2007 - 12.2009
  • Conducted workshop with key stakeholders
  • Gathered business requirements, and functional requirements
  • Designed Prototypes with Dream weaver for FTI
  • Use case scenarios for FTI
  • Prepared requirements traceability matrices (RTM, HTM, VTM) Utilized Quality Center for directing, tracking, and outlining needs during a project SDLC
  • Performed data mapping, Gap analysis for APAC Region
  • Validated KYC, CDD, STR, CTR reports for FTI analysis
  • Documented requirements for Payments and Cash management modules

Business Analyst

IBM
05.2004 - 12.2006
  • ASAP (Accelerated Sales Application Process CLIENT: Ameriques Mortgage Company

Education

Bachelor of Computer Science -

Kakatiya University

Skills

  • Financial Crime Compliance
  • Client Onboarding
  • Transactions Surveillance
  • Business Process & Controls
  • Client & Business Advisory
  • Governance Client Screening
  • HNW
  • Sanctions
  • Fraud Risk
  • OFAC
  • MAS
  • Policy Procedures
  • Regulatory
  • Operations Business Compliance
  • Project Management
  • Process Management
  • Business Analysis
  • Change Management
  • Quality Control
  • AML
  • KYC
  • Client Due Diligence
  • Transaction Surveillance
  • Policy and Procedures
  • Client Advisory
  • Business Advisory
  • Business Controls and Process
  • Governance
  • SAR
  • STR
  • Periodic Review Anti Bribery Corruption
  • PDPA
  • Client Screening
  • FinTech
  • Payments
  • Actimize
  • Fiserv Mantas
  • Firco Soft
  • Norcom
  • Finargo
  • ECDD
  • Business Process Re-Engineering
  • Stakeholder -Vendor Management
  • Business Analytics
  • Quality Assurance
  • Waterfall
  • Agile

Certification

  • CAMI Certificate in Anti Money Laundering Investigator
  • ICA Certificate in Anti Money Laundering
  • Project Management Professional (PMP)
  • PRINCE2 Practitioner Certificate in Project Management

Residential Status

Singapore PR

Timeline

Sr. Compliance Manager – Financial Crime Compliance

UOB
03.2023 - Current

Sr. Compliance Manager - Financial Crime Compliance

UOB
09.2021 - 10.2022

Sr.Compliance Manager – Financial Crime Compliance

MUFG
09.2020 - 07.2021

AML Compliance Manager | Financial Crime Compliance

JPMC
03.2019 - 12.2019

AML Compliance Manager| Financial Crime Compliance

SCB
10.2016 - 11.2018

KYC Business Process Manager| WM

Deutsche Bank
01.2016 - 09.2016

Lead Business Analyst| MBS

Comtel
09.2014 - 11.2015

Sr. Business Analyst

Standard Charted Bank
05.2013 - 08.2014

Sr. Business Analyst

Ministry of Health and Finance
03.2012 - 04.2013

Business Analyst

DBS bank
05.2011 - 03.2012

Business Analyst

Citi bank
05.2010 - 05.2011

Business Analyst

Online Business Systems
02.2007 - 12.2009

Business Analyst

IBM
05.2004 - 12.2006

Bachelor of Computer Science -

Kakatiya University

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