VIDHYA BABU
Perth,Australia
Summary
Seasoned Client Management specialist with over 12 years in investment banking industry. I have developed a strong expertise in operations, reference data, change management and financial crime prevention. Responsible for managing the end-to-end client journey, from onboarding to off-boarding, across multiple jurisdictions and products.
Overview
15
15
years of professional experience
Work History
Regulatory Analyst
NatWest
07.2018 - 07.2023
- Conduct thorough KYC due diligence for new clients, ensuring compliance with regulatory requirements and internal policies
- Analyze customer data to identify potential risks and implement appropriate mitigation strategies
- Analyze high-risk customers and transactions, identifying patterns indicative of potential money laundering or financial crime
- Prepare and submit Suspicious Activity Reports (SARs) to FinCEN and other regulatory authorities, ensuring accurate and timely filing
- Collaborate with compliance teams to update policies and procedures in line with evolving regulations
- Worked directly with sales and trader to ensure prioritization of clients onboarding
- Liaised with various groups such as legal, compliance, credit and operations to complete the onboarding process of client
- Worked to ensure clients meets all the regulations like MIFID2, EMIR, DODD FRANK, 15a6
- Managed a caseload of clients, resolving compliance issues and escalating suspicious activities as required
- Identifies and suggests process improvements
- Worked on all high risk clients and takes the responsibilities in reviewing the client's regulations annually
- Ensure filings and other documentations are prepared in timely manner in accordance with departmental procedures
- Efficient organizer, motivator, team player and a decisive leader with the capability to motivate teams to excel and win
- Train junior staff on AML/KYC procedures, regulatory requirements, and the identification of red flag
Senior Process Analyst
Tata Consultancy Services
04.2013 - 06.2018
- Part of Morgan Stanley Corporate banking - Equity Market The focus of the role is to pre-match the trades before settlement, sorting out issues with trade for pre settlement
- Settlement of equity trades in European, Euro clear, Emerging and DTC markets
- Worked effectively with the direct clients through all faces of transactions
- Interaction with various counterparties, middle office, clients, bookings and settlement team for pre-matching the trade in the market
- Ensure focus on both pre matching the trades and failed trades
- Liaising with various other internal teams to ensure trades are pre matched before value date
- Ideas shared to avoid any risk during pre-matching the trades
- Worked in all high risk market trades
- Prepared reports to clients and management that includes the reconciliation all trades in daily basis
- Analyze the problem and able to identify the requirements for settling the trades
- Established and maintained a good relationship with clients
- Ensuring completion of work with agreed SLA
- Provided all support to management by preparing daily report and checks
- Functioned on products such as SWIFT, QWEST, Omgeo Alert, SunGard Intellimatch and several other custody portals
- Prepared wire movements and made payments before cut off & processed funding prior to cut-off
Processing Associate
Capgemini
03.2010 - 04.2013
- Handling the NABU AR Support Process
- Highlighting the Project issues and follows up till the resolution
- ACH - Debiting the cash from the customer account for his Open Invoices
- AR Check Request - Checks the customer account & refund the cash back to the customer
- MICR - Updating of Customer Bank Information in SAP
- Manual Cash - When the customer made an EFT payment through Bank site for his Open Invoices
- AR Support creates credit in the customer account & sent all remit details to cash appliers for clearance
- Cash Balancing - Reconciliation of daily cash balancing between Bank Balance with the SAP Balance
- SAP Balancing - Reconcile of daily balancing of invoices generated between SAP & Basis
- Clearing Account Reconciliation - This is a monthly report sent to the client
Seo Analyst
USA WEB SOLUTIONS
11.2008 - 11.2009
- Optimizing websites as for SEO needs
- Preparing traffic report using Google Analytics and Manual reports for checking the ranking of sites in Search Engines like Google, Yahoo, MSN, also Monthly ranking report
- Off-page Optimization includes Directory Submission, Article submission, Blogs, Social Book Marking, Link Exchange, Social Media Marketing, Group discussion, Classified Ad Posting and Forum Posting
Education
Post Graduate Diploma - Financial Management
Annamalai University
Chennai03.2021
Bachelor of Computer Application - undefined
Thiruvalluvar University
Villupuram01.2008
Skills
- Data Visualization
- Risk Analysis
- Microsoft Tools
- Regulatory Framework
- SQL
- Data analysis & Reporting
- Nexus
- Qlikview
- Salesforce
- Nucleus CRM
- JIRA
- Time Management
Accomplishments
- Developed a new reporting framework that reduced the time required for data analysis by 40%, significantly impacting operational efficiency
- Led a critical data integration project that consolidated multiple data sources into a single, coherent framework, increasing data accessibility for all departments.
- Received the 'Best Performer' and 'Star Performer' award for outstanding performance and dedicated to company objectives
Strengths
- Problem Solving, Strong problem solving skills, adapt at diagnosing issues, formulating solutions, and implementing new strategies in the workspace.
- Communication Skill, Exceptional written and verbal skills, with the talent of presenting complex information clearly to stakeholders and the team.
Timeline
Regulatory Analyst
NatWest
07.2018 - 07.2023
Senior Process Analyst
Tata Consultancy Services
04.2013 - 06.2018
Processing Associate
Capgemini
03.2010 - 04.2013
Seo Analyst
USA WEB SOLUTIONS
11.2008 - 11.2009
Post Graduate Diploma - Financial Management
Annamalai University
Bachelor of Computer Application - undefined
Thiruvalluvar University
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