Prasant Y.

Executed comprehensive due diligence to maintain compliance with regulatory standards, focusing on sanctions screening, AML/ATF policies, and financial crime prevention frameworks. Analyzed transaction monitoring alerts to detect suspicious activities linked to money laundering and financial crimes. Conducted thorough AML investigations utilizing internal systems, customer profiles, transaction histories, and open-source research. Recognized red flags such as structuring, high-risk geographies, rapid fund movements, and unusual transaction patterns. Completed due diligence and enhanced due diligence for high-risk clientele. Compiled detailed case narratives while documenting investigation results in line with AML/BSA regulatory requirements. Escalated dubious cases for SAR/STR filings based on the outcome of investigations. Engaged in sanctions screening, PEP checks, adverse media screening, and watchlist monitoring. Validated and verified customer identification documents for authenticity and completeness. Updated customer records accurately within AML/KYC systems to support compliance and audit readiness. Implemented periodic KYC reviews in accordance with client risk classifications and regulatory schedules. Investigated alerts from compliance tools across AMER, EMEA, and APAC regions. Monitored trading activities to identify potential market abuse such as insider trading, spoofing, and front running, reviewing trade and order data for suspicious patterns. Assessed trader communications to uncover potential misconduct and performed compliance checks on vendor payments to mitigate financial crime and sanctions risks.