Sumit Upadhyay

About Sumit Upadhyay

A banking professional with more than 8 years of experience in the field of banking and Operations. A proven ability to assess effectively AML & KYC risk in various businesses/products and substantial expertise in conducting, leading investigations, undertaking compliance testing, and dealing with law enforcement notices.Excellent analytical, communication, and interpersonal skills with the ability to interact with professionals at all levels.

Experience

1. Subject Matter Expert (Aml Tm)

   Accenture

   Sep 2023 — Present · IN

   Roles and ResponsibilitiesClients -Middle East & APAC based and Australia Based BankRegular TM/TBML/CCML alerts/cases manage and distributionAnalysis and solving moderately complex problems. creating new solutions, leveraging and, where needed.•Primary upward interaction is with direct supervisor.•Regular interaction with peers and/or management levels at a client and/or within Accenture.• Providing guidance to determine methods and procedures on new assignments.• Daily MIS preparation of Alters/case distributionPrivate Limited - Mumbai, Maharashtra Performed KYC checks for new and existing customers Verified customer identity using official documents Ensured customer profiles met regulatory and internal standards Updated and maintained accurate KYC records in the system Flagged and escalated any KYC gaps or suspicious details Coordinated with front-line teams to collect missing KYC information.

Education

• University of Mumbai

  Mcom, Accounting

• Somaiya Vidyavihar University

  Bcom (Banking and insurance)

  2015 — 2018