Sumanta Mukherjee
Summary
Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals.
Overview
17
17
years of professional experience
Work History
Associate
JPMorgan Chase Bank N.A., Singapore Branch
12.2014 - Current
- As part of the KYC Middle office function for I am managing a team size of 3 full time employees spanning across 4 jurisdictions
- Single point of contact liaising between external client and multiple internal stakeholders such as business, KYC maker team, Quality control, Compliance
- Facilitate communication with Maker team to gather information and required documentation thereby supporting the KYC processes for prospective and existing customers
- Partner with multiple teams (Maker, QC, Compliance etc.) to complete the required documents and associated information for regulatory and internal policies
- Manage stakeholder relations through communication and helpful interactions
- Collaborating with external clients to maintain relationships and provide them with thorough support and guidance to comply with the KYC requirements
- Maintaining compliance with applicable regulations and laws of various jurisdictions and also prioritize tasks to meet tight deadlines
- Providing middle office support for the adhoc remediation and exceptions
- Offer internal support for audit, compliance and reporting activities
- Monitoring testing results on related controls from business unit compliance officers
KYC Quality Controller
Credit Agricole Corporate & Investment Bank, Singapore Branch
09.2012 - 12.2014
- Followed quality standards and procedures to minimize errors and maximize customer satisfaction
- Developed and implemented quality assurance improvements
- Evaluated quality problems and performed assessments to identify and resolve issues
- Improved quality processes for increased efficiency and effectiveness
- Provide feedback, training, procedural updates to the KYC Analysts and also assist in document requirements to the business with regard client identification and on-boarding requirements
- Clarifying procedural and operational problems of the team thus identifying & mitigating potential issues with regards to On-boarding/Periodic review
- Providing guidance on PEP (Politically Exposed Person) screening and when to raise the risk classification of the client. Coordinating with different teams for resolution of queries and concerns. Also assist in conducting investigations and escalation of suspicious/negative news
KYC Analyst
HSBC Electronics Data Processing India Pvt Limited
12.2006 - 09.2012
- Review KYC documents to conduct due diligence review for prospective and existing clients based on the risk level guidelines as per the KYC procedure
- Analyze and investigate to conduct detailed customer due diligence and enhanced due diligence review so as to determine the customer's risk in terms of propensity to commit money laundering or identity theft.
- Performed periodic reviews and reports on clients to comply with rules, regulations and KYC requirements
- Partner with RM team to collect legal documents and associated information for regulatory and internal policies.
- Weekly meeting with RM team to follow up for missing documentation and ensure timely completion of the KYC profiles
- Research and interpret the corporate documentation to determine business and ownership structure.
- Training and mentoring of New Joiners
Education
Bachelor of Science - Biology
University of Calcutta
IndiaSkills
- Relationship Building
- Problem Resolution
- Analytical Thinking
- Know Your Customer
- Team Leadership
- Call Documentation
Timeline
Associate
JPMorgan Chase Bank N.A., Singapore Branch
12.2014 - Current
KYC Quality Controller
Credit Agricole Corporate & Investment Bank, Singapore Branch
09.2012 - 12.2014
KYC Analyst
HSBC Electronics Data Processing India Pvt Limited
12.2006 - 09.2012
Bachelor of Science - Biology
University of Calcutta
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