Arpit Kumar Gupta

About Arpit Kumar Gupta

I am a Financial Services/ Banking Risk Management Professional. I have sound knowledge of AML/ CFT, KYC. I have worked with two different International Banks with their Risk Management/ Compliance department. I have worked on new regulation FATCA launched by US government. Have exp in monitoring Wire Transaction. also have good knowledge on-boarding New clients to the organisation and to perform all the KYC, AML checks.

Experience

1. Subject Matter Expert

   Not Working

   Jun 2016 — Present · New Delhi, IN

   Performing Due Diligence & Enhanced Due Diligence according to the risk classification of the clients (Low, Medium & High Risk) for all regions.• Performing the required KYC screening on existing clients by documenting and validating the information obtained on the client as required by the Global KYC Procedures utilizing independent research sources, using internal applications Entity Master, Master files and contracting entities report.• Verifying KYC data and collecting relevant information in line with regulators requirement and analyze Client data, documentation, negative news and PEP’s in order to determine Client Risk Profile as established under the Global KYC Procedures. Conducting background checks on clients and connected parties using RDC (Grid) application.• Collaborate with the KYC Group’s counterparts worldwide on global requests. • Maintain detailed records on clients for second-level review. • Responsible for reviewing and ensuring all required AML/KYC Regulatory requirements for existing clients are still in place.( i.e. executed USA Patriot Act certification for all Foreign Banks) • Liaise with Compliance on specific requirements and regulations arising under special circumstances. • Liaise with Clients, Front Office, Credit, Legal and Operations as necessary as part of the KYC Refresh process.• Timely escalation of any red-flag identified in the process, due diligence team will reach out to Compliance team for AML sign-off.• Continue with process improvement ideas, MIS Reporting & Perform QC (Quality Check).• Assigning daily work to the Team & help completing the work in TAT

Education

• Punjab Technical University

  BCA

  2006 — 2010

• K. K.D Inter Collage

  High School

  2003 — 2004

• S.D Inter Collage

  10+2

  2005 — 2006

Skills

• Business Analysis
• Relationship Management
• Client on-Boarding
• Team Management
• Banking
• Investment Banking
• Risk Management
• Anti Money Laundering
• Analysis
• Fixed Income Trade
• Management
• Dod-Frank
• Payments
• Kyc
• Financial Risk
• Mis
• Vendor Management
• Retail Banking
• Compliance Management
• Financial Services
• Fatca
• Emir