Sumitha Chethan

• To support the review of AML/KYC records per policy and procedure for all type of clients.
• Reviewed documentation, client information, screening, and required approvals from Compliance for accuracy.
• Highlight red flags and other AML issues during the independent assessment.

• Supports client on-boarding and PR for WM Singapore and Hong Kong Booking centers for GSA and SEA markets clients
• Assisted in the end-to-end onboarding & periodic Review and for clients including EAMs, HNW individuals, corporate, Trust & funds a/cs
• Accompanying the bankers to advise the client on documentation and KYC requirements prior to onboarding.
• Conducting through analysis and review of client accounts to ensure compliance with regulatory requirements and Bank's AML/KYC standards.
• Requested ID copies and SOW details to initial AML checks prior to onboarding prospects.
• Assisted the Relationship Manager in rewriting the brief KYC before submitting it for next-level approvals.
• Worked closely with the business teams and client advisors to advise on legal requirements, while resolving KYC/ documentation related queries and ensured all processes were in line with DB standards
• Played a key role in developing a comprehensive client onboarding process, specializing in documentation, account setup & related procedures
• Carrying out day to day management of client onboarding & PR team, ensuring account refreshed within scheduled time, together with daily management of client service activities, and support all scenarios of KYC of the clients to ensure delivery of very high-quality service to clients and internal stakeholders.
• Good hands on AVALOQ, APPWAY system screening- ADM, RDC, Lexis Nexis & Fircosoft tool
• To report Singapore & Dubai BAU targets and completion Risk assessment matrix to Regional Business Head and to escalate any issues or concerns on business level.
• Participated in projects and tasks such as 1/1/0 project, UAT for Business application.
• Collaborated with senior management to develop strategic initiatives and long-term goals.
• Proven track record under role of Client onboarding Specialist handling documentation & KYC for premium clients.
• Providing exceptional client service and support to clients, addressing inquiries and concerns promptly and professionally
• Ability to work to tight deadlines in a fast-paced environment
• Assists in monthly reporting to various local governance committees.
• Work independently and collaborate with wider team.

• Executed client outreach for all in-scope clients across the APAC region, ensuring broad coverage and effective engagement.

• Established and maintained strong client relationships as a client outreach specialist, connecting with bankers with existing deutsche bank clients, and provided exceptional service and support.

• Perform Case lead role advise & give the feedback on the performance of KYC Maker/Analyst
• Perform Quality Assurance KYC/AML reviews and ensure are compliant with regulatory requirements & JP Morgan compliance requirements.
• Monitoring weekly productivity of team to ensure that set monthly production target is met.
• Coordinate and liaise across businesses and compliance units for timely completion of Periodic Review.

• Ensure all new client relationships have undergone the appropriate due diligence prior to opening a new account and entering into trading transactions.
• Responsible for the smooth processing of onboarding the Clients in strict accordance with bank’s internal AML policies & procedures.

• Was part of the Regulatory Compliance project Dodd Frank & USA Cross Border representation.
• Validate and process Protocol Questionnaire/ Adherence letters submitted by clients by verifying client submitted data to internal systems.

• Account opening for the Corporate clients for Fixed income & Equity products for London & NY region.