RUCHA PREM PURI
Banking, Compliance, Anti Money Laundering, KYC & Investment Banking.
D10/103, The Rutu Estate, Patlipada, GB Road, Thane
Summary
Professional with a total experience of 19 years in financial sector. An expert in the field of Compliance and Anti Money laundering. Abilities include Setting up Anti Money Laundering and compliance procedures, Clear understanding of banking, Mutual funds and financial management concepts and practices, statutory regulations, good communication skills, excellent analytical skills, process oriented and aptitude to learn quickly and generating innovative improvement ideas.
Overview
15
15
years of professional experience
Work History
Manager
SMFG India Credit Co. Ltd
4 2024 - Current
- Review and approve regulatory reports like STR, CTR, NTR before submission to PO
- Monitor daily AML activities to ensure timely submissions
- Reviewing policies and procedures of different departments
- Connect with different product teams to understand product and process flow.
Manager
HDFC Asset Management Company
11.2015 - 04.2024
- Taking are of overall branch operations, process, and quality management. Ensure process laid down is implemented successfully as per the set processes. Ensuring 100% adherence to regulation and compliance norms relating to operations transaction processing. To build a strong relationship with service providers/vendors like transfer agents, bankers etc. Ensure record keeping in periodic basis after auditing. Reviewing processes followed at branches to understand requirements for changes or tweaking of processes
- AML /Negative media new deduping reporting to HO.
- Trainer for the new joiners in client services on various process.
Manager
Indusind Bank Ltd
11.2010 - 06.2014
- Know Your Customer /Customer Due Diligence & Anti-Money Laundering.
- Conducting the AML and KYC checks on the new and existing Clients/Customers.
- Identifying patterns of suspicious activities and investigate suspected cases of activity related to money laundering terrorist financing or other related financial crimes through designated teams.
- Filing of Suspicious Transaction Reports in case of Suspicions Transaction observed in accordance with the AML policy of the Branch.
- Facilitating continuous improvement through identification, implementation and sharing of best practices in conjunction with peers and the line management
Deputy Manager
HDFC Bank Ltd
11.2009 - 10.2010
- Anti-Money Laundering.
- Scrutinizing liability accounts PAN India for identifying any suspicious or irregular transactions
- Investigating suspicious transactions/ accounts with the help of Branches /Departments.
- Analyzing the existing processes for loopholes and suggesting process improvements and changes in the software parameters for the same as well as subsequent coordination with IT to get the changes implemented.
- Monitoring Western Union Money Transfer transactions PAN India for identifying any suspicious or irregular transactions.
- Carrying out surprise audit check for Western Union Sub-Agents and submitting the report to the senior management.
- Designing and executing the frame work for Western Union Money Transfer transactions and ensuring RBI Compliance for the same.
- Setting up policies and processes for Trade Forex transactions and ensuring RBI Compliance for the same.
Education
Executive- MBA -
Institute of Technology And Management, Mumbai
Bachelor in Commerce -
NKT College, Mumbai University
Skills
MS Office
Finacle- Banking software
SAS AML application
ERASE AML application
FINWARE
KAPITI
FLEXCUBE
IWORKS
FINACLE
Financial Certification
- NISM certification VA
- X-A
- V-C
- XVIII
- CFA Foundation level
- Certification on AML
- KYC and CFT by Fintelekt
Timeline
Manager
HDFC Asset Management Company
11.2015 - 04.2024
Manager
Indusind Bank Ltd
11.2010 - 06.2014
Deputy Manager
HDFC Bank Ltd
11.2009 - 10.2010
Manager
SMFG India Credit Co. Ltd
4 2024 - Current
Executive- MBA -
Institute of Technology And Management, Mumbai
Bachelor in Commerce -
NKT College, Mumbai University
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