Yamuna Govindan
Compliance Due diligence
Sharjah
Summary of Career
1. Managing enhanced due diligence for subjects across Americas, EMEA and Asia
2. Interaction with clients over their due diligence requirement, negotiating and proposing scope and cost of due diligence
3. Review and quality assurance of due diligence reports prepared by vendors and a support team of 4 members
4. Reputational risk assessement and investigation related to white collar crime, financial crime
5. Sanctions screening, ensuring compliance to FATF and other international Anti money laundering (AML) regulations
6. Utilizing media sources and propriety database to verify client incorporation and operational details, negative news screening
7. Identifying companu structure and ultimate benificial owner of clients
8. Identifying, classifying and screening politically exposed persons (PEP) and assessing risk associated with them
9. Escalating material risks to the global financial crime team and business units
10. Due diligence, substantiation and determination od source of wealth (SOW) for wealh management cleimts
Experience as Associate Due diligence/ AML
Morgan Stanley
12 December 2016
02 April 2019
Experience as Research Analyst
Thomson Reuters
12 January 2015
08 December 2016
Master 01 July 2014
Completed Masters in Business Administration from Kannur University with 2nd rank in University