ADITYA PUNDHIR

H. No. 1&2, 2nd

FL, Block-B, Sainik Nagar

Near Nawada Metro Station

Uttam Nagar, New Delhi-110059

Mobile: - +91-8802299105 pundhir.aditya@yahoo.com

• MBA Finance with 5.5 years experience in AML, KYC Client On-boarding, KYC Refresh, CDD, EDD, Regulatory

Compliance, Financial Crime Compliance, Global Investment Banking and an IPO Project in Banking/ Investment

Industry and a genuine interest in personal and professional development.

• Dedicated and result oriented personnel, equipped with MBA (Finance) degree from KIIT Collage of Management

(Gurgaon)

• Endowed with a passion for winning as evinced through demonstrated excellence in the academic & extracurricular

areas.

• Strong planning and execution skills along with a systematic Approach.

� PROFESSIONAL SYNOPSIS

Organization: Bank of America (May 2010- till date)

Designation: Team Developer

Department: Shared Services Operations Global AML Service Delivery

Name of the Process: KYC Client On-boarding and Refresh, AML Compliance (APAC, EMEA, CANADA and US)

Business Level: Tier 2 Business Level About Process:

Global Banking and Global Markets (“GBAM”) are one the Line of Business within Bank of America Corporation (“BAC” or the “Firm”). Process involves in conducting KYC for On-boarding client and Existing client on basis of their risk assessment and Dynamic risk rating (High/ Elevated/ Standard). Adhere to Customer Due Diligence Local and Global regulatory guidelines for APAC/ EMEA/CANADA & US regions and initiate Enhance due diligence, OFAC checks and Economic Sanction exposure to reduce the risk of BAC being used for the purpose of Financial crime or for it being used by Criminal or Terrorist organizations which may leads to Reputational risk, Financial risk, Regulatory risk. Excellence in Applications:

Bloomberg Terminal, LEO, GDS, GPS Locator, CPW, OWLS, Navigator Portals, Bankers Almanac, Dun And Bradstreet,

World Check, ASIC, ACRA, ICRIS, FSA Register, Company House, EDD Prism, OFAC, MINT etc.

Roles and Responsibilities:

• The analysis is to ensure the completeness and accuracy of the "Know Your Customer" (Corporate structures-

Financial Institution (FI), NBFI, Listed Company, Private Company, Govt. Bodies, Funds, Trusts, Partnerships,

SPV's, etc.) data and information to ensure compliance with Anti-Money Laundering policies.

• DOC gap analysis basis on Regulatory Requirements (Local & Global Regulator’s Requirements, Bank Secrecy Act,

US Patriot Act, Money Laundering Regulations)

• The Risk related activities are preformed based on the analysis of that client data and in accordance with AML

policies.

• Preformed Enhance Due Diligence (OFAC) & Customer Due Diligence (based on different jurisdiction) activities

according to High/Medium/Standard Risk rated Entity. Imparting Training and providing detail description of

standard operating procedure of the process to the new joiners.

• Coordinating and regular calls with Regional teams, Sales team, Ops team, Client services team, LOB for

clarification and fulfillment of the legal requirements.

• Coordinating with MLRO’s (Money Laundering Regional officer) on Customer due diligence guideline and

clarification.

• Coordinating with technical team on Dynamic Risk Rating change to ensure KYC deadlines.

• Ensuring SLA’s deliver with in timeline and adhere to KPI’s, KRI’s and compliance guideline.

• Work on SOP’s to get process streamline and improve efficiency of peers.

• Quality Analyst for the process, ensuring high quality scores and regular coaching to the peers on their

improvement areas.

• Conduct QA reviews as part of non-AML QA processes

• Lead QA feedback sessions and communicate QA results to the on-boarding and KYC Refresh teams

• Assist with audit preparations and inquiries

• Provide on-the-ground support and escalation for BAU policy and exceptions inquiries

• Assist with developing and fine tuning of Regulatory Change related policies and procedures

• Preparing and Maintaining various Reports:

SharePoint tracking via LOB updates OFAC Check Tracker, Share Drive tracker

T&M tracker

Weekly or Monthly Report to LOB

Training at Bank of America

• Planning and Prioritizing for providing better support to the Process • Who moved my cheese • Personal Grooming and Business Etiquettes

Certification at Bank of America

• I’ve done Banking Certification Program from Bank of America in Treasury Operation Management with 68%.

Reward and Recognition at Bank of America

• 3 Gold, 5 silver and 4 bronze award in Q4 2010, Q2 2011, Q3 2011, Q2 2012, Q4 2012, Q1 2013, Q2 2013, Q3

2013, Q2 2014, Q3 2014, Q4 2014 and Q1 2015 respectively

• Most improved analyst in Q1 2011

• Talented player in Q4 2010 annual games at BAC.

• Badminton doubles winner in Q4 2011 games at BAC.

Activities and Societies

• National Cadet Corps (NCC) 2004-2007 “B” & “C“ Certificate holder with 3 National camps • Volunteer at National Social Service (NSS) 2004-2007 Always taken part in Poliomyelitis Camps in the City to

create awareness in the people and Awarded by District Magistrate & UNISEF Team • Inter University Cricket player (also part of Bank of America Corporate Cricket Team)

Organization: Fidelity Investments (Feb 2010 – April 2010)

Designation: Contractor

Department: An IPO Project (LSE: FCSS) launched by Fidelity for UK Clients.

About Process:

Project involves in handling investment instructions from UK clients into Fidelity China Special Situation Focus

Fund (IPO) offered by Fidelity Investments. I was responsible for onshore dealing wherein we have received

client instructions for switch, sell, partial withdrawal, fund transfer from their ISA account to FCSS fund. Analysis

for return reasons of onshore and offshore confidential client mails and resolution needs to be updated in HLDB

core data base.

Academic Qualifications

� M.B.A. in (Finance & Marketing) from KIIT College of Management, Gurgaon affiliated to M. D. University, Rohtak in

2009

� B.Sc. from Dr. B.R.A. University, Agra in 2006

� Senior Secondary from U.P. Board in 2003

� Secondary from U.P. Board in 2000

Summer Training Internship during MBA

Company : Standard Chartered Bank, Gurgaon

Company Profile : World’s leading MNC Bank in India

Designation : Summer Trainee

Tenure : From 9th

June to 9th

August 2008

Job Description : Summer Trainee

Project Work Topic : Comparative study of Banking Services ABN AMRO Bank with special reference to

Standard Chartered Bank.

Dissertation Project during MBA

Project: Marketing Strategies of LG Electronics India (Pvt.) Ltd.

The purpose of this thesis work was to know the marketing strategies adopt by the LG Electronics India (Pvt.) Ltd. As well

as analyze their strategies and its effect on the corporate profile of the company. How the LG introduce their product

line into the market? To achieve this purpose, an overview of the marketing strategies and promotion activities was

acquired through academic books and papers, Internet sites and magazines.

IT skills

Software Packages : MS Office (MS Word, Power Point, Excel etc.)

Personal Details

Date of Birth : 20th

August 1985

Father’s Name : Mr. Munendra Kumar

Mother’s Name : Mrs. Rekha Pundhir

Marital status : Married

Permanent Address : H. No. 1&2, 2nd Floor, Block-B, Sainik Nagar, Near Navada Metro Station

Uttam Nagar, New Delhi- 110059

Language : English & Hindi

Hobbies : Playing Chess & Outing with friends and family

Strengths : Integrity, Empathy, Perseverance and Fast adaptability to change

Passport : L4275257

Declaration

I hereby declare that the details given above are true to the best of my knowledge and belief.

Date: Place: (ADITYA PUNDHIR)