Sethu Raman

Background

About Sethu Raman

Regulatory reporting for 2 years has been successfully completed without any non-compliance with RBI due to thesuccessful implementation of monitoring exceptions and internal audits.#Accomplished multiple regulatory audits while maintaining a satisfactory compliance rating.#Streamlined processes and reduced operational costs related to compliance by collaborating with cross-functionalteams.#Designed and executed a comprehensive compliance plan, leading to a decrease in compliance violations.#Responsible for regulatory activities related to account opening, daily reconciliation, monitoring fraud and suspenseaccounts. Ensuring compliance with the CKYC process for both entity and non-entity customers.#Managed the formation, implementation, and operations with all applicable statutory provisions, rules, and regulationsand Reported to the queries that were raised during the RBI audit.#Breaches/incidence of non-compliance is noticed/ identified to avoid recurrence. The responsibility is to screen andmonitor transactions for anti-money laundering in accordance with regulations, internal policies, and procedures, andreport to management.As a KYC analyst, handled all opened accounts across India and gathered reports to submit to CERSAI.