Anup Verma

About Anup Verma

Risk Assessment in Anti Money Laundering (Suspicious Activity Monitoring, Customer Due Diligence(CDD), Watch List Screening, Suspicious Transaction Activity Reporting (STAR), Currency Transaction Reporting (CTR), Trade based Money Laundering AML Essential & Terrorist Financing Typologies and Techniques, Sanctions, Regulations and Guidelines. Trade Surveillance and Transaction Monitoring.( eg Transaction alerts, Time triggers and Change of location) Overview Experience in End to End Monitoring Process Flow. Understands Operational Risks and Controls. Specialize in the Identification of Usual Customer behavior in Segments like Retail, Private Banking and Corporate Banking. Corporate Onboarding and Private onboarding, Compliance and Regulations. Assess client legal hierarchy and the Client documentation required as per policy and procedures.Determine various customer/entity types (Example: Publicly Traded Companies, Private Companies, Sole Proprietorship etc.) and the corresponding documentation required to complete policy requirements. Working with Sales Team to provide presales and bid management support on new / emerging business opportunities. AML Transaction Monitoring handling on the business lines : Capital Market Surveillance, Prime Brokerage, Trade Finance, Hedge Funds, Loan and Securities MIFID Regulatory Reportings (European Union) MLRO operations. Forensic Accounts, Analysis of Investment Pattern and Money Laundering.(End to End Study of payments and Investment Analysis)CORE COMPETENCIES: Assess client legal hierarchy and the Know Your Client (KYC) documentation required as per policy and proceduresDetermine various customer/entity types (Example: Publicly Traded Companies, Private Companies, Sole Proprietorship etc.) and the corresponding documentation required to complete policy requirements.Analyze documents/information received and assess additional steps required to complete KYC as per procedures.Specialize in Compliance and Legal information and raising issues as appropriateScreening customers using different open sources tools.(Finscan, World check etc)Maintain a record of and report progress as required.Communicate with quality check team and team lead to resolve escalated issues as needed.Create relationship memos as required for relationship managers. Collecting missing details from open sources Lexis/Nexis, Edgar, Sedar, Companies House, Graydon, Legal Compliance open sources Application.

Experience

1. Senior Financial Analyst (Saxo Group)

   Puresoftware Ltd

   Jan 2024 — Present

   MIFID REGULATORY REPORTINGS, Remediation, Client ODD, Private and Corporate Onboarding, AML and KYC, Transaction Monitoring and Surveillance.

Education

• Bangalore University

  Bachelor of Business Administration - BBA, Accounting and Finance

  2006 — 2009

Skills

• Team Leadership
• Crm
• Sales
• Business Strategy
• Business Development
• Sales Management
• Sql
• Vendor Management
• Mis
• Windows
• Competitive Analysis
• Databases
• New Business Development
• C++
• Business Analysis
• Team Management
• C