Published on: Mar 4, 2016
Transcripts - Pooja Parwani_CV.doc
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To work with an organization where I can get the opportunities to use and expand my skills and technical
capabilities, driven by challenges & seeking new avenues would like to play a pivotal role in bringing success to an
organization through my area of expertise and by managing a team of professionals.
• Seasoned Professional with nearly 4 years of experience in Know Your Customer (KYC), Anti Money
Laundering, Commercial and Investment banking, Managerial information Systems.
• Adept at handling overall risk, involving risk assessment, internal/ external rating, as well as monitoring
mitigates & portfolio risk.
• Experience in identifying process re-engineering and efficiency improvement areas and successful
implementation of the same.
• Profound knowledge of Financial Regulations like Bank Secrecy Act, USA Patriotic Act and various International
guidelines like FATF, Wolfsbergs Principles, Sanctions and FATCA.
• Possesses excellent interpersonal, communication & organizational skills with proven abilities in team
management, negotiation and planning.
Since September 2011 to September 2015 – Deutsche Bank Group, Jaipur as Process Supervisor/Senior
Analyst – Client On Boarding
Process: Client Onboarding (New Client Adoption _ United Kingdom)
Have thorough knowledge about KYC and Anti Money Laundering requirements basis on which I do adoption
of clients of Deutsche Bank AG, London, Ireland and UAE branches on DB Portal as per the KYC and AML
guidelines of respective jurisdiction.
Performing end to end KYC checks as per the set guidelines by the Regulators and the Bank;
Allocation of work within team;
4 eye checks/ Quality Assurance checks on the work done by 2 eye reviewers and providing system approval for
Preparing various MIS and daily reports.
Point of contact for the Sales team and senior management on behalf of the team.
Prioritize assigned tasks to comply with the deadlines in line with the urgency and nature of the assignment.
Experience in handling Corporate, Financial Institutions, CMFI, SPVs, Hedge Funds, Individual clients etc.
End to end training provided to the new joiners in the team;
Point of contact for the team for any process related queries;
Conducted various refresher training sessions for the team on time to time basis;
Handled various sensitive situations coming across focusing on client satisfaction and adoption policies hand in
Got trained on FATCA regulation which recently got implemented for DB clients and successfully implemented the
same in the adoption process;
Got awarded as Employee of Month for the month of January 2014, for giving unconditional support to the team in
the time of need.
For internal use only
Currently handling team of 5 process executives.
Appreciated for keeping the team united and encouraged at the time of crisis.
Process: Client Onboarding (Historic Review _ Netherlands)
Migration Project in which we were required to migrate clients from ABN AMRO to Deutsche Bank’s portal,
approx 60,000 clients are to be migrated till Dec’14. The checks and review performed on all potential clients
and related parties at the client on-boarding stage as well as on a regular ongoing basis for all existing clients
in strict accordance with requirements defined by our regulators and the Bank’s internal policy on client
Identifying the client’s existence;
Review completeness of a client's KYC (Know Your Customers) i.e. documentation/information and identifying
missing documentation/information that needs to be obtained;
Review and adhere to DB Global KYC Policy & AML policies & procedure;
Apply all CIP regulatory requirements to the adoption process;
Creation of accurate KYC profiles on internal systems (db Client Adoption Tool – dbCAT);
Performing searches to identify any risk/adverse information related to the client;
Working closely with the Sales team and AML Compliance team;
Knowledge of the Know Your Customer (KYC)/ Anti-Money Laundering (AML)/ USA
Got opportunity to be a part of a migration project having a critical impact on the reputation of the organization
and having a regulatory deadline till dec’14.
Prepared a reference note on CRMCA (document repository)
Prepared first Process note on SharePoint Tool used by the team which was subsequently added to the KOP of SCC -
Client Review process after getting approval from onshore partners, also got appreciation for the same.
Got SPOT Award in the month of Sep 2012.
Got promoted as Process Supervisor within of less than two years and moved to more critical team in August 2013
Bachelors of Commerce from Rajasthan University in 2010.
Senior Secondary (10+2) from Children’s Academy, ISC Board.
Well versed with MS Offices, Photoshop, Lexis Nexis, Regulatory Data Corp (RDC), Lotus Notes, World Check,
NORKOM, Preventative Crime Review (PCR), dbClient, dbCAR, dbCAT and other Internet Applications
OTHER ENGAGEMENT and HOBBIES
Actively took part in various cite wide events in cultural activities.
Playing Shuttle Badminton, sketching portraits, cooking and travelling.
Date of Birth : 26th
Present Address : F-II-15 LIC Flats, Sector – 2, Vidhyadhar Nagar, Jaipur 302039
Passport Number : K8396616 (D.O.E 24/02/2023)
Languages Known : English and Hindi
For internal use only