Swaroop M
- Role
- Authorized Officer - Client Onboarding Manager at UBS
- Location
- Hyderabad, IN
- LinkedIn followers
- 500 followers
About Swaroop M
Organized Risk and Compliance Expert with over 12 years of experience in AML, KYC…
Experience
Authorized Officer - Client Onboarding Manager
Jun 2022 — Present
Responsible for managing the IB Client Onboarding Team and supporting APAC/EMEA/US Global Banking Investment Banking business.\\\\n\\\\nWork on onboarding cases across the IB. Advise and explain KYC requirements and handhold the client or banker through the onboarding and account opening process.\\\\n\\\\nResponsible for timely reply on client queries and act as a client relationship manager.\\\\n\\\\nFacilitate exceptional handling on risk-based approach, and coordinate with Business and FinCrime for signoff.\\\\n\\\\nPerform background check screening on the client.\\\\n\\\\nMake justifications on negative news found for hits clearance and assess other risk factors such as PEP, Sanctions, Vulnerable business, etc.\\\\n\\\\nCapture and input client static data in IB Onboarding system, which are in sync with document records and evidencing.\\\\n\\\\nComfortable navigating UBS onboarding systems to look for client data, and able to perform data analysis at the account level to understand what the client is entitled to trade.\\\\n \\\\n\\\\n \\\\n \\\\n\\\\n \\\\n
Skills
- Commercial Banking
- Microsoft Office
- Mortgage Lending
- Loans
- Management
- Retail Banking
- Risk Management
- Banking
- Credit
- Customer Service
- Credit Analysis
- Project Management
- Business Analysis
- Financial Analysis
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