Mohd Saleem Khan
Client Onboarding Specialist @UBS
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WORK HISTORY
Client Onboarding Specialist @UBS
Hyderabad, IN
Working as a Client Onboarding Specialist and Regional Head of Onboarding delegate (Global Entitlements) in Investment Banking global KYC portfolio.• As a Client Onboarding Specialist, I am accountable for executing the New CSS enhancement for Low and Medium Risk clients, Product enhancement for all risk Low/Medium/High/Higher (for products business areas like FX-Foreign Exchange, FI-Fixed Income, Equities, ETD-Exchange Traded Derivatives), Capacity enhancement for full KYC’ed entities and Fund onboarding.• Fund onboarding and amendment of attributes like Name change, COI, PPOB, adding products and contracting entities, establishing relationship for Agent and UPCE.• For each request of Product addition and CSS enhancement the following activities will be performed on all the clients like Document sourcing, preparing of Business and Client Questionnaires, Client Outreach, Background checks, preparation of KYC Files for approval by ensuring compliance with the USA Patriot Act, Bank Secrecy Act, OFAC. as well as UBS AML CDD policies• Before initiating Business/Client outreach will ensure the authenticity of the documents about the client obtained from public domain, determine if leveraged information is reliable from sources such as Lexis Nexis, Bankers Almanac, Websites of Stock Exchanges, Company registries, Regulator’s websites,D&B, IAPD websites, Dealogic website for FINRA Forms, ISDA tool for EMIR etc.• Identifying all the beneficial owners and connected parties like Ultimate Beneficial owners, Day-to-Day controllers and Authority to Act Individuals of clients and performing screening for the same only on the additional connected parties identified and ensuring all negative hits identified and disposed according to CDD policies.• Performing vetting as per CSS including sanctions check, NN screening, Vulnerable business activities, PEP identification, Source of wealth, Source of funds and Identification of third party fundings if any.
EDUCATION
Anwar-Ul-Uloom College Of Business Management
Master of Business Administration (MBA), Finance & Marketing
Gowtham junior college
Board of intermediate, Accounting
St pauls degree college
Bachelor of Commerce (Computers), Accounting
Loyola High School
Secoundary School Certificate
SKILLS
ABOUT MOHD SALEEM KHAN
Client Onboarding Specialist, CMB NTB Quality Checker & Account Opening Officer with well qualified and result oriented Banking professional with around 12 Years of experience in prevention of financial crimes and risk consulting with global banks and also having hands on experience in audit, process trainings with shadowing new joiners. Aspiring for a challenging leadership role where I can use my skill and experience for the development of the organization and upskill myself. Areas of competence include:• Customer Banking Solutions• Periodic Reviews• Verifying/Approving KYC• Validating New/Existing Accounts• Quality and Audit Checks• Customers Negative News Validation• Risk Management & Assessment
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