Sridhar Bantnal

Accomplished and motivated professional with over 16 years of experience in AML/KYC, proven track record of leading teams to meet regulatory requirements for new client onboarding, periodic reviews, and remediation across APAC, EMEA, and AMER regions for various banks. As a culturally sensitive and ethical leader, I excel in developing and implementing optimized solutions. Recognized for my collaborative and inclusive approach, I drive results while fostering teamwork. 

VICE PRESIDENT – (TEAM MANAGER) CLM / AML-KYC | 12/2022 – 02/2025
Delta Capita

 Managed two major accounts for the firm: a staff-augmentation account for a British multinational bank, and a managed services
account for a Dutch multinational bank.
 Lead a team of 50+ KYC analysts, supported by 3 leads, supervising end-to-end KYC reviews for corporate and financial institutions,
as well as funds remediation activities at client locations.
 Recently handled KYC project for a Dutch multinational bank, managing a team of 15-20 analysts responsible for conducting full
Customer Due Diligence (CDD) reviews, Event Driven Reviews (EDRs), and Limited Due Diligence (LDDs), alongside quality control
and subject matter expert support.
 Control owner of one of the key CLM project in the firm, ensuring implementation and execution of effective controls.
 Demonstrated technical expertise and leadership skills to effectively manage and lead projects, teams, and functions.
 Addressed and escalated client feedback with relevant business group, proving and implementing solutions where relevant.
 Managed key client engagements to contractual specifications and frequently collaborate with CLM leadership team.
 Identified and resolved training/development gaps within the team, driving high staff performance through planning, coaching,
feedback & KPI’s.
 Demonstrated accountability and ownership of group/team/firm communications with appropriate messaging.
 Effectively analyzed and prepared MI’s, identified trends, risks, issues and presented project reporting to firm’s senior management
& Client stakeholder group.
 Responsible for team/project’s performance and maintained a strong sense of focus on results, driving tasks/projects to
completion.

SENIOR MANAGER – GAC RISK EXCELLENCE QUALITY CONTROL | 05/2022 – 11/2022
State Street (GAC, India)
 As a Senior Manager within the Global AML Centre (GAC), I managed the EMEA Risk Excellence Quality Control team, comprising 23
Quality Control analysts, including 3 Assistant Managers. This team was responsible for conducting quality control checks on
samples selected from KYC operations for State Street’s clients.
 Ensured that KYC and Anti-Money Laundering risk assessments were completed using corporate compliance tools and methods
prior to account opening, and on an ongoing basis for new accounts.
 Managed the team effectively, fostering collaboration to achieve common goals while maintaining high morale.
 Continuously reviewed and enhanced productivity benchmarks for New Business, Periodic reviews, and Event Driven Reviews
(EDRs).
 Identified end-to-end, periodic, and targeted review sample cases and assigned them to the team for quality control checks.
 Prepared weekly QC/QA batch files and initiated calibration calls with the QA and Operations teams to discuss quality.
 Ensured the timely publication of weekly error reports to the QA and Operations teams.
 Prepared monthly reports and KPIs, sharing them with various stakeholders.
 Annually reviewed the QC framework for periodic reviews and implemented changes according to the revised framework.
 Conducted control monitoring activities, including quarterly INFRA and RCSA reviews, for the department.
 Reviewed and updated SOPs for all GAC activities and secured the necessary approvals.
 Managed access management for both new joiners and existing employees.
 Monitored files requiring remediation and provided timely status updates to Compliance.

DELIVERY MANAGER – KYC CLIENT ON-BOARDING | 07/2014 – 05/2022
Société Générale (GSC, India)
 As the GSC KYC Delivery Manager, I managed the APAC KYC-Onboarding team, comprising 10-15 KYC analysts and senior analysts
responsible for conducting due diligence reviews for existing SG clients and new onboardings.
 Collaborated closely with Front Office, Middle Office, and onshore counterparts to prioritize effectively and allocate requests
efficiently, ensuring compliance with defined SLAs.
 Coordinated with onshore counterparts, challenged ad-hoc requests directed to the team, and communicated the outcomes to
senior management.
 Ensured the team’s strict adherence to the agreed-upon SOPs, KYC policies, and other guidelines governing the process.
 Maintained Customer Service Level Agreements (CSLAs) and took ownership of publishing GPS controls related to non-process
aspects.
 Ensured timely completion of performance reviews for all team members.
 Identified root causes and corrective actions, updated the team on these actions, conducted enhanced due diligence, and enriched
review requests.
 Ensured the scheduling of weekly meetings, monthly meetings, and one-on-one sessions, all with structured agendas and recorded
minutes.
 Collaborated with SMEs, QA, and QC teams to identify team members in need of training and development and planned targeted
coaching sessions as necessary.
 Closely monitored staff utilization, billing, and budget for the team in collaboration with senior management.
 Proposed and supported the implementation of automation initiatives to reduce errors and enhance efficiency.
 Proactively identified potential issues for management, drove process improvements, and implemented necessary changes.

ANALYST FOR KYC REVIEW | 06/2010 – 09/2013
HSBC Electronic Data Processing India Pvt Lt – Bangalore
 Obtained and updated all missing client documentation in collaboration with Relationship Managers and the Client Liaison Group.
 Sourced and updated accurate and relevant client data from the internet and other specialized information providers, such as BIS and Bloomberg.
 Produced KYC profiles that adhered to the highest quality standards and aligned with the latest policies and procedures of UK local regulators.
 Effectively communicated with team members, Relationship Managers (RMs), Global Business Managers (GBMs), and Compliance, as needed.

 Coordinated with the onshore team to obtain guidance and gather missing information.
 Participated in daily escalation calls with the onshore team to provide updates on client KYC statuses and completions.
 Resolved team members’ queries regarding complex KYC documentation issues by coordinating with the QAOs.
 Conducted four-eye reviews on documents and information requests before seeking any missing requirements.
 Trained new joiners on production processes as soon as they arrived on the production floor, after completing their classroom training.

PROCESS ASSOCIATE – KYC, AML & CLIENT ON-BOARDING | 12/2008 – 06/2010
UBS (Wipro) – Bangalore
 Reviewed all AML/KYC regulatory requirements in accordance with the Bank’s Client Identification Policy.
 Conducted KYC on various entity types using Lexis Nexis, Banker’s Almanac, and Google research, and performed Enhanced Due
Diligence (EDD) for medium- and high-risk customers in accordance with the Bank’s AML and policy guidelines.
 Assessed cases of negative news during the client review process, including issues related to money laundering, corruption, bribery, and politically exposed persons.
 Conducted OFAC sanctions, PEP screening, and other screenings using World-Check, focusing on high-risk industries that pose threats to the financial system, society, and human rights.
 Risk-ranked customers based on an assessment of their risk profiles, including product, geography, transaction history, and other relevant information.

MBA - 01/2008 | Dayananda Sagar College, Bangalore University – Karnataka, India
BBM - 01/2006 | Theosophical College, Gulbarga University - Karnataka, India