Vishnu Sreekumar

•Developed and applied advanced knowledge of independence policies and procedures.

•Worked with clients throughout all stages of projects to identify, clarify and resolve complex issues independently.

•Independently lead key projects by taking up end-to-end responsibility.

•Working with BDO member firms to ensure- timely response to, and clearance of, possible conflicts.

•Maintenance and expansion of the client's family tree for conflict searches.

•Review work performed by team members and provided effective feedback.

•Maintain and build professional and technical knowledge and contribute to process improvement initiative.

•Applies application of BDO standards to ensure assigned work is performed in accordance with BDO method- ology and requirements.

•Able to advise members of engagement teams and other professionals regarding conflict checking and independence matters.

•Overseeing and taking responsibility of few activities/projects within the process.

•Developing business process flows for different projects with the business line.

•Review work performed by team members.

•Understanding key requirements of firm's regulators' Risk Management (RM) rules and policies.

•Understanding key risk factors / conflicts of interest involved in new engagement acceptance of EY globally.

•Screening the clients and other parties involved in new engagement, its key controllers, UBOs, etc. Performed Sanctions screening, PEP identification and Negative Media searches via Finscan, world check, LexisNexis, and external Google research.

•Facilitates and drives the process to completion by following up on requests from RM Consultants and assisting the client's team.

•Performing review of the pending submissions from client teams and evaluates completeness, accuracy, and appropriateness of proposed transaction/requests.

•Acting as a liaison between the client teams, other members of the Risk Management team, and various functional areas within the firm.

•Formulates answers to client/regional risk management team's questions.

•Act as a regional relationship contact ensuring that all the queries of onshore and engagement teams and assisting them.

•Performing Screening resolution services as per client requirements. •Conducting extensive research on companies and individuals and preparing in-depth and comprehensive re- ports with the help of external sources and internal proprietary sources.
•Identifying and verifying risk categories and classifying them into
different risk factors such as Anti-Money Laundering, Fraud and
Regulatory Breach, Serious and Organized Crimes, Political Exposed Persons, Intellectual Property Violations etc.
•Working collaboratively with the team to provide advice to business with respect to applicability of policies and implementation of the economic sanctions program and regulatory changes.
•Analyse data, prepare and present to regional and global reports related to sanctions risk assessments, and monitoring of sanctions related issues with senior management and global partners.
•Analyzing and summarize the research data in a timely and accurate manner while aligning with the relevant research guidelines and
legislations.

•Performing Customer Due Diligence through periodic or event driven reviews to ensure that customer's information and documentation is kept up to date.
•Identified and verified the customers to assess and manage the financial crime risk associated with specific customer types.
•Determining the CDD requirements for on-boarding new customers and monitoring existing relationships.
•Assessing the initial risk rating of the customer by analyzing the country risk, legal entity structure, business type and the products used by the customer.
•Assessing the initial KYC documentation and engaging the Relationship Manager to get relevant customer data.
•Obtaining approvals to determine if the customer has to be on boarded/retained or exited.
•Screening the customers, its key controllers, UBOs, etc. Performed Sanctions screening, PEP identification and Negative Media searches via Lexis-Nexis, World Check and Google.
•Keeping a complete documentation of the remediation done on identifying the deficiency.
•Preparing KYC Due Diligence profiles on a wide range of entity types such as Corporations, Partnerships, Trusts, NPOs, Embassies and Sole Proprietor, etc.
•Reviewing all required AML/ KYC regulatory requirements and analyzing any transactions that appear unusual and effectively completing Unusual Activity Reports in compliance with established regulatory guidelines and time frames.
•Escalating the positive and potential hits regarding the sanction, PEP and negative media searches and preparing the
documents.
•Determined whether the activity seemed legitimate or not by applying various AML regulations including USA PATRIOT ACT, the Bank Secrecy Act, FATCA, FATF and OFAC regulations.