Vaibhav Dubey

AML and Fraud Investigation (Transaction Monitoring & Financial Crime Operations) PROFESSIONAL

Handling team of analysts.  Performing team lead responsibilities such as Organizing Work, Communication Goals, Delegating Task, Reporting progress to Stake Holders, Problem Solving, Reporting progress to Stake Holders, Motivating team members to accomplish their goals, Performance data, capacity planning, leave management, target vs achievement data, case allocation, Representing and advocating for team needs.  Working as a Senior Analyst for ALM and Transaction Monitoring process (UK).  Working as a Nominated Officer for the team and responsible for submitting the SAR (Suspicious Activity Report) to NCA (National Crime Agency UK).  Appointed as the internal Quality Assurance Expert and performing Quality Checks for entire team.  Investigation and analysis on Frauds and Scam raised by the fraud detection team regarding the different types of frauds.  Establishing the AML process as one of the active team members of the Pilot batch for AML UK in India.  Investigate and assess alerts for potential money laundering risks in the Bank.  To ensure that the institution is not exposed to criminal risk, and does not inadvertently facilitate financial crime.  Ensuring compliance with current AML regulations, and other relevant legislation.  Keeping and maintaining records of high-risk customers, and reporting suspicious activities to the authorities.  Briefing and reporting to senior management on matters relating to internal AML compliance policies and procedures.  As an AML subject matter expert provide training, direction and guidance to employees on appropriate remediation action for high-risk accounts.  Assisting in identifying systemic procedural weaknesses and additional training requirements for the Bank.  Investigate, review, and resolve AML related and economic sanction related alerts  Prepare weekly, bi-weekly, monthly, and quarterly reports to AML Compliance Officer.

Handling team of analysts.  Performing team lead responsibilities such as Organizing Work, Communication Goals, Delegating Task, Reporting progress to Stake Holders, Problem Solving, Reporting progress to Stake Holders, Motivating team members to accomplish their goals, Performance data, capacity planning, leave management, target vs achievement data, case allocation, Representing and advocating for team needs.  Working as a Senior Analyst for ALM and Transaction Monitoring process (UK).  Working as a Nominated Officer for the team and responsible for submitting the SAR (Suspicious Activity Report) to NCA (National Crime Agency UK).  Appointed as the internal Quality Assurance Expert and performing Quality Checks for entire team.  Investigation and analysis on Frauds and Scam raised by the fraud detection team regarding the different types of frauds.  Establishing the AML process as one of the active team members of the Pilot batch for AML UK in India.  Investigate and assess alerts for potential money laundering risks in the Bank.  To ensure that the institution is not exposed to criminal risk, and does not inadvertently facilitate financial crime.  Ensuring compliance with current AML regulations, and other relevant legislation.  Keeping and maintaining records of high-risk customers, and reporting suspicious activities to the authorities.  Briefing and reporting to senior management on matters relating to internal AML compliance policies and procedures.  As an AML subject matter expert provide training, direction and guidance to employees on appropriate remediation action for high-risk accounts.  Assisting in identifying systemic procedural weaknesses and additional training requirements for the Bank.  Investigate, review, and resolve AML related and economic sanction related alerts  Prepare weekly, bi-weekly, monthly, and quarterly reports to AML Compliance Officer.

MBA in Finance from VMU