CURRICULUM VITAE

Name :- PRIYANKA PILANIA

Current address :- A- 13, F/F EAST UTTAM NAGAR, NEW DELHI-110059

Mobile No :- 9971836818
Email :- priyankapilania19@gmail.com

Career Objective

To have a challenging career and remain committed to the goals and assignments of the organization, strive for
professional excellence and value addition through continuous learning and leverage knowledge for career
growth. Be result oriented, flexible and a good team member.

Key Skills

Highly motivated, strong work ethics, effective leader, strong analytic & communication skills with positive
approach and innovative ideas & have an invaluable strength essential to qualify performance on job.

Professional Experience

Saxo Bank Private Limited: March 2016 Till Date

Process: Onboarding, KYC & Configuration

Scope: Global On-boarding (Private & Institutional) & Configuration

Designation: Senior Associate working as Corporate and Institutional Client On-Boarding & KYC Analyst

Tools/Applications Used:
Microsoft Dynamics CRM, UCR (Unified Client Registration), CPR Registry, Finscan, Corporate Registries, VP,
CFS (Central Filing System) document depository, Web Connect, BinDB, Country Matrix, European Commission
TIN Online check module, MS Excel, MS PowerPoint, & MS Word.

Work Summary:

On-boarding complex multi-layered entity structures.

Conducting AML/KYC reviews of new counterparties.
Research & validation of customer identification data/evidence using appropriate internal and
external data sources.
Performing enhanced Due Diligence on clients classified as High Risk.
Liaised regularly with Compliance and other support groups within the Global Client On-boarding
teams.
Investigate, review and escalate to Compliance any AML related and economic sanction related
alerts.
Identify complex corporate structures including offshore entities (like BVI or Panama or other
jurisdictions like Jersey), associations, partnerships, trust, foundations, etc.
Responsible for taking the applications through the due diligence and KYC process according to the
AML requirements and verifying they are compliant with both internal and external regulations.
Configuring all Saxo Bank pricing models within interest, commission and margin set ups.
Responsible for on-boarding of Institutional clients like White Label clients and Introducing Brokers
in regards to contract drafting, due diligence, configuration, training and guidance.
 Responsible for FATCA Renewals of Corporate & Financial Clients and License Renewals for
Financial Clients, periodically.
Part of Trade Surveillance project which involves reviewing and handling AML alerts related to
clients trading activities, Conducting data analysis and alert investigation in order to assist in
optimizing and implement Trading Surveillance systems, Interacting with internal stakeholders to
provide and analyse information regarding Trading Surveillance activities.
Responsible for Termination of Financial clients, Introducing Brokers, Money Managers &
Referring Agents based on the requests received from Client/Sales.

Bank of America: Feb 2013 March 2016

Process: AML/KYC Refresh

Scope: Global Market Operations Middle Office (Asia Pacific, EMEA, US & Canada)
Designation: Senior Team Member working as AML/KYC Refresh - Operations Analyst (SME)

Tools/Applications Used:
Legal Entity On-boarding , Global Document System, GTS, Navigator, Dun and Bradstreet, Mint Global, Bankers
Almanac, World Check, Prism, Guide-Star, Lexis-Nexis, OFAC, OWLS, MS Excel, MS PowerPoint, & MS Word.

Work Summary:

Researching, collecting and analysing client information to ensure compliance with regulatory
policies, internal standards, AML requirements and identifying exceptions to escalate to relevant
authority and following through to ensure appropriate actions are taken.

Renewal of existing KYCs on the basis of risk and remediation of same according to the latest
regulatory changes, risk factors and trigger events for US/Non-US Corporation, US/Non-US
Banks, NBFI (Regulated/Non-Regulated), Partnership, Funds (Hedge Fund/Mutual Fund/ Pension
Fund), Government entities, Individuals, etc.

Performing overall risk assessment of client due diligence files based on country, nature of business,
reputational and product/services risk. Ensuring quality checks on the KYCs done by the team
with at most vigilance and providing apt feedbacks to Analysts & guide them on Quality.

Sourcing client documents such as MOA, Board Resolution, COI, Annual Accounts, Annual Returns
from paid websites i.e. Company Registries, Company websites, Paid data providers, State and
country regulators. Ensuring sourcing is cost effective.

Pulling production report and allocation of work to team. Consolidating data and publishing
production and quality report on Weekly basis. Working closely with Team Lead to maintain
accurate data for MIS reporting and act as spoc to and Assistant Manager for weekly onshore call
and communicating the deliverables of the same to the team.

Identifying accounts of high risk through negative information using World Check, PRISM, Owls,
Google and OFAC searches. Interacting with the Anti-Money Laundering Compliance team
concerning the determination of appropriate escalation on research and negative media. Ensuring
the bank does not facilitate transactions involving sanctioned countries and individuals.

Performing the required KYC screening on existing clients by documenting and corroborating the
information obtained on the client as required by the Global KYC Procedures utilizing a variety of
independent research sources. Analysing Client data, documentation and negative news in order to
determine Client Risk Profile as established under the Global KYC Procedures.

Performing the Due diligence and Anti money laundering checks on the beneficial owners of the
companies and on the companies as well. Verifying the annual report of the clients and a detail
analysis on financial statements to confirm it meets all the requirements.

Day to day communication with Operations and Sales teams for required documents and ensuring
that sales outreach is done only after exhausting all internal & external sources.

Complying with the US Patriot Act and MIFID requirements.

Performing EDD Checks on the Entities before proceeding with the trade. Responsible for the EDD
reporting across all the regions and contacting GFCC team for taking the sign off. SME for the
PEP, SPF and EDD issues. Cross trained in handling all the Regional EDD procedures.
Training Spoc for new joiners and conducting regular sessions to discuss process updates and
 common errors report to increase quality.
Interacting with LOB to discuss process improvements/updates and process challenges. Part of UAT
Team for upgradation of data maintenance and Web Tool for reporting purposes.
Updating the new learning Tracker with new updates given by the clients.
Head the Sales Outreach piece - Responsible for sending out the document/information requirements to the
clients business partners based on the doc-gap Team has done. Developed sales templates for different
document/information types and also effectively handled queries and discrepancies of the clients & sales
people. Monitoring sales mailbox to ensure all the mails are responded and worked upon timely to avoid
undue escalations.

Education/Academics

Educational Qualification University/College/School Year Percentage /CGPA

GGSIPU 2010-12 80.88

MBA

BBA GGSIPU 73.74

2007-10

Area of Specialization

Finance (Major) with International Business (Minor)

Projects Undertaken
Did a project on Exchange Traded Funds in Karvy Stock Broking Limited.
Did a project on insurance plans with special reference to Reliance Life Insurance.
Did a project on customer satisfaction with special reference to Mahindra Bolero.

Technical Proficiency

HTML, Visual Basic, MS-Office, DBMS

Strengths
Strong communications skills-Written and spoken English.
Effective organizational skills-Time management.
Ability to work independently, and drive toward the creation of completed end product.
Have strong attention to detail and exercising strong quality control over own work.
Great understanding of finance & accounting & Proficient statistical skills.

.
Co-Curricular/Extra-Curricular Activities/Achievements
Topped the Score-Card in terms of Volume, Accuracy and other Quality Parameters continuously since
last 8 months.
Developed the SOP of US Process.
Identified training needs of team and prepared training module for the same.
Worked on to create Sales Outreach Templates.
Created depository for all the Process Updates.
Globally recognized with Bronze, Silver and Gold Awards continuously throughout the years.
Got appreciation emails from Higher Management and from Onshore for proactively completing the sales
outreach and for maintaining 100% Quality.
IIBF Certified AML/KYC Analyst.
Successfully submitted 2 JDIs which helped in achieving efficiency and effectiveness in Production &
Quality.
 Personal Information

Date of Birth Home Town Nationality Fathers Name Fathers

(Permanent Address )& Occupation
Ph.no. Landline/Mobile
04-04-1990 A-13, F/F East Uttam Nagar, Indian Virendra Singh Advocate
New Delhi-59, 011-28565110,
9971836818

(Priyanka Pilania)