YALAMARTHI AMBICA

Mobile: + 91 7204488096 Email: [email protected]

Looking for career enrichment opportunities in Compliance / Advisory / Anti-Money

Laundering /Risk Management with growth oriented organization.

Professional Synopsis
 Management professional endowed with passion for winning and with over 13 years of
experience in Risk Management, Retail Banking Operations, KYC Anti Money Laundering
Operations and client servicing across banking domain.
 Currently associated with Standard Chartered Bank GBS, Chennai as Associate
Manager (Quality Control).
 A strategist with proven skills in implementing risk policies under Financial Crime
Compliance. Lead a team of 15 members and conducting Root Cause Analysis at
operational level.
 Demonstrated abilities in spearheading operations & service aspects with an exposure
to Retail Banking Operations and process migrations.
 Gained extensive knowledge about the anti-money laundering laws, KYC procedures
and practices across multiple geographies including United States, South East Asia and
South Asian Countries.
 A thorough professional with a proactive attitude, capable of thinking in and out of the
box, generating new design solutions and ideas.
 Possess excellent interpersonal, communication and analytical skills.

Domain Exposure

 Conduct due diligence to identify business risks and devising measures to mitigate the
same across the Financial Crime Compliance domain for the bank at multiple
locations.
 Possessing knowledge of gathering requirements from various sources and performing
Quality Assurance.
 Making use of available information and interacting with different country Heads for
precise reporting as per AML Norms.
 International AML exposure.
Team Management

 Leading a team of 15 Members along with their performance reviews.

 Monitoring the performance of team members to ensure efficiency in operations and
meeting their targets.
 Coordinate discussions with each direct report regarding goal setting, performance
reviews and career development planning and incentive/salary administration.
 Providing prompt and objective coaching and counselling to the team on any
assignment project given by the Senior Management and
 Coached team to higher performance levels, resulting in accepting new project with
existing team size.
 Managed risks associated with regulatory compliance and Internal Audit discrepancies,
Analyzed productivity planning and fixing turnaround time.
 Coordinate and plan capacity, assign work for staff. Interface with varying levels of
management and staff.
  Manage staffing in accordance with program specific workflow (i.e. down-staffing, up-
staffing). Capacity Planning and threshold analysis on what if results prior production.
 Assists the Senior Management in compiling and analyzing operational trends and to
be responsible for all additional tasks and assignments that are assigned.
 Leads individual projects and work groups that will be presented to Senior
Management and Compliance.
 Close process gaps across new migrations. Streamlining efforts for attainment of goals
of the company and taking care of the mission & vision.
 Supporting various analysts in the team with the assessment & analysis of cases.
 Making sure of no breaches on SLA and QA levels within the threshold.
 Maintained a professional and friendly working dialog with coworkers, supervisors, and
clients. Developed long term working relations with clients through friendly service and
firm knowledge. Reacting quickly to outage and crisis situations by communicating
with supervisors and coworkers to resolve the source Issue quickly.

Organizational Experience

 Working as an Associate Manager in Standard Chartered Bank since March 2015.

 Worked as a Deputy Manager (Band I) in ICICI (International Operations Group) from
June 2007 to March 2015.

Banking Experience

Role in SCB:

Quality Analyst in Control and Sample Testing Team for Corporate Relationships.

 Responsible for managing the flow of operations to ensure operating schedules,

processing and procedures are met and staff is adequately trained.
 Manage overall work schedules and production according to productivity standards.
Ensure the coordination of process cross-training and development of staff.
 Performing daily, weekly and monthly reports to ensure that scheduling staff shifts,
lunches, breaks and time off is in compliance. Delegating tasks to employees
appropriately while encouraging growth and career development.
 Maintain compliance risk assessment consistent with the risk assessment framework
established by the Chief Compliance Officer.
 Ensure business unit policies and procedures are compliant with all relevant laws and
regulations and the bank's stated policies and procedures.
 Manage testing support during the Software Development Life Cycle involved in the
production of QIA tools.
 Draft Addendums as and when required. Liaising in setting up different HUB’s for the
Bank.
 Perform monthly and ad hoc tests to validate compliance of CDD.
 Manages and prepare responses to audit findings or other regulatory information
requests in a timely and comprehensive manner.
 Ensures that department activities are compliant with audit and risk management
policies and regulations.
 Serves as the first point of reference in the absence of the Quality Head by developing,
nurturing and maintaining relationships with stakeholders.
 Report monthly CST test results in the organizational risk framework systems of the
bank. Report monthly and ad hoc test results to the stack holders.
 Provide feedback on compliance record quality to front office and CET.
  Train the relevant staff across other quality improvement and assurance whenever
required. Handled Business Continuity exercises for Unit.
 Facilitate, promote and co-ordinate understanding of management and implementation
of operational risk.

Role in ICICI Bank: Experience in Anti Money Laundering Team:

Worked in AML/KYC Domestic team from June 2007 to May 2013

 Scrutinizing the relationship opening forms and Transaction Monitoring.

 Manage daily operational activities of small team of analysts. Assign tasks and
responsible for defect management including monitoring and reporting on defect
resolution.
 Communicate regularly with stakeholders and provide consistent follow up on the
status of issues.
 Effective at complex problem resolution and expected to assist in resolving all difficult
issues.
 Employ statistical analytics techniques to analyze data and recommend opportunities
for process improvement.
 Drive continual process improvement to streamline business management processes
and remove redundancies.

Team Handling in AML/KYC Singapore unit from June 2013 to 2016

 Handled Clients Annual KYC review of Singapore.

 Maintains watch list customers and investigates for continued suspicious activity.
Transaction Monitoring and PEP list on fortnight basis. Internal surveillance of Staff
transactions and escalation to Country Head. Handling online process of HiSAVE
account openings.
 QC on daily basis for all the processes. Identify root cause of monitoring exceptions
and facilitate remediation of exceptions.
 Relationship opening, collecting all relevant information and managing the account
opening process and work flow for client requests.
 Suspicious Transaction reports (STR). Ensure compliance with Banking rules,
Regulations & Procedures.
 Banking Operations – Involves efficient, effective and error – free performance of
general banking operations. Establishes goals and objectives for regular operations.
 Ensure excellent customer services by training employees and providing feedback to
existing employees regarding areas of improvement and development.

Accomplishments

 Over 13 Years of Experience in AML/KYC.

 Worked in Account Opening Department, RPC Hyderabad in for 3 Years.
 Handled Singapore Accounts opening team for 2 years. Publishing Snapshot, Daily
report and Quality report. Handled Quality control Relationship Opening Team
Singapore India Operations for 3 Years.
 Professional experienced working in fast paced environments demanding strong
organizational, technical and interpersonal skills.
 Appreciation from Operations Head for Successful Completion of the A3 Project
  Highly trustworthy, ethical and discreet, confident and poised in Interactions with
individuals at all levels. Detail oriented and resourceful in completing projects able to
multitask effectively. Flexible to adapt to any environment and conditions.
 Functional knowledge of Banking Operations and Correspondent banking functions.
 Understanding and maintaining the Compliance and Regulatory requirements,
Ensuring Change Management policies are followed.
 Defect Analysis & Tracking cross team interaction with support teams.
 Strong communication skills to develop relationships with business groups and
excellent collaboration skills.
 Demonstrated ability to share knowledge, trends, and process flows with leaders
across the line of business. Excellent interpersonal, communication, negotiation and
presentation ability.
 Proven ability to coach and develop others for success, with the goal of building a
strong leadership bench self-starter, able to work with minimal supervision in a fast
paced, highly regulated, results driven environment.
 Proactively coached and developed associates to unleash their full potential in
delivering exceptional customer service.

Scholastics
 BSc from Andhra University, Rajahmundry 2004 with 63%.
 IIBF Certification on KYC/AML
IT Skills

Operating Systems Windows (2000/NT/XP)

Office Applications Open Office 3.0, MS-Office
Software Functional Finacle, FCRM, Staffware, AMLOCK, SWIFT, Bank Away,
skill Talisma, FX Online, NRISRE, BOWB, Ebbs, Norkom, Detica,
World Check, Accuity, eCDD+.

Awards and Achievements

 1st prize in TALISMA RE-ENGINEERING PROJECT at ICICI BANK
Projects

 TALISMA RE-ENGINEERING PROJECT at ICICI BANK for one month

 A3 PROJECT on FOCUS in ICICI Bank Ltd

Personal Portrait
Name : Y. Ambica
Nationality : Indian
Date of Birth : August 26, 1983
Gender : Female
Marital Status : Married
Languages Known : English, Hindi and Telugu.
Current Location : Chennai

• I hereby affirm that all the information furnished above is true to the best of my knowledge.
• References available upon request from academic and industrial Collaborators/Peers.

(Y. Ambica)