Sangeetha Nair
Vice President @Nomura
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WORK HISTORY
Vice President @Nomura
Manage the Onshore & Off-shore KYC teams and oversee KYC/AML program for the onboarding/re-onboarding and reassessment process for all customers. • Ensure customer files are in compliance with regulations for various countries. For UK, complying to MIFID classifications and JMSLG guidelines, AUSTRAC for Australia compliance, Proceeds of Crime (Money Laundering) and Terrorist Financing Act for Canada & Bermuda Monetary Authority for Bermuda Compliance. • Plan, work and liaise with Global KYC team leads, IT leads, change management team and Vendor for the implementation of a new client life cycle management tool within the organization. • Work with compliance on the revision of AML policies on regular and ad hoc basis when new regulations are announced by regulators (Fincen, Finra, SEC, BMA, Austrac, JMSLG etc) and their effective execution from within operations. • Work with compliance, front office, middle office, information technology to re-engineer the process to increase the throughput of the team, lessen the time to market of client onboarding, cost saving on overall process and adding controls to the process. • Work with internal and external auditors to provide information during yearly, quarterly, monthly and adhoc audit related to KYC process. • Identification Program (CIP) regarding documentary evidence along with quality control per company and US requirement guidelines • Manage the personal development, performance and daily activities of KYC teams in US and Powai. • Trained employees on the account opening and maintenance process, as well as the legislation and regulations enforcing the AML/KYC program • Identified thematic issues within existing KYC/Compliance processes and, providing recommended actions to adequately mitigate any associated risks to senior management.
EDUCATION
Delhi University
Bachelor of Commerce - BCom, Accounting and Finance
SKILLS
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