Rohit Khandelwal

  • Mumbai Area, India, IN
  • rohitkhandelwal.vision@gmail.com
Rohit Khandelwal

Associate at JPMorgan Chase & Co.

Work History

Work History
Sep 2015 - Present

Associate

JPMorgan Chase & Co.

Working with JP Morgan as a Regional Team Manager in KYC/AML domain for Corporate & Investment banking (CIB) business from 30 Sep 2015.

Major Job Responsibilities:

  • Working with IB team as a due diligence (KYC/AML) specialist to support them for smooth and complied on boarding of the clients
  • Coordinates/communicates with the client to complete the due diligence requirements as per the standards and escalate the client issues for solution
  • Leading the team for the due diligence (KYC/AML) coverage for investment banking (IB) business in APAC region
  • Taking care of KYC/AML regulatory/internal guidelines in compliance/On boarding of IB clients for products like equity capital market (ECM), debt capital market (DCM) and cash equity
  • Supporting in due diligence activities like figure out the UBO (Ultimate Beneficiary Owner), screening on the entities/list of directors/UBO, prepare disposition on the true hits for PEP/Negative media and FATCA/Sanction requirements
  • Regular coordinates across the other verticals like compliance, legal, business and other stakeholders for hassle free and fast onboarding of clients
  • Monitor end to end activities with in the process with strong control over team to deliver the optimum output
  • Involved in management roles like objective setting, work & resource management, one on one discussions, mid year/year end review, team trainings and all other day to day team management activities
  • Do gap analysis in regular intervals in the process to find out or remove the process gaps
  • Arrange frequent calls with senior partners to discuss about the work and ideas for expansion of the team.
  • Taking care of project management activities like charter execution, recruitments, service agreements for the pilot projects
Feb 2013 - Sep 2015

Deputy Manager-Compliance

Axis Bank

Worked with Axis Bank Ltd. as a Deputy Manager at Corporate Office-Mumbai in Compliance & Client on Boarding from 14 Feb 2013: - 2 + Years as a Team Lead

Major Job Responsibilities:

  • Figure out the risk from Regulatory guidelines/PMC notes/CMC notes/compliance testing/Bank internal policies and mitigate then with validated controls from respective business groups under risk management
  • Design key risk indicators (KRI) for controlling and monitoring function over risk and follow up with respective business groups to provide the controls.
  • Coordinating with five assessment unit (KYC & AML/F&A/Internal Audit/DEM/CRES) for risk control mitigation & get them updated in EGRC (Enterprise governance risk & control)
  • Taking care of KYC guidelines with AML checks in compliance or audit of CASA deposits(Pvt. Ltd, Public Ltd, Propertirship, partnership entities) as per regulatory & bank standards for new to bank and re validation clients
  • Taking care of AML internal checks like UBO (ultimate beneficiary owner) identification, negative media, suspicious transaction reporting (STR) and PEP (politically exposed people) identification and forward the reports to compliance/AML central team for further review
  • Involved in management roles like objective setting, work & resource management, one on one discussions, mid year/year end review, team trainings and all other day to day team management activities
  • Monitor end to end activities with in the process with strong control over team to deliver the optimum output
  • Provide/Arrange product & process trainings to business/operations teams on process & functional changes
  • Coordinating & providing support to clients/stakeholders in end to end process with communication across all level/vertical for best client service
Aug 2010 - Jan 2013

Deputy Manager-Due Diligence Operations

HDFC BANK LTD

Worked with HDFC BANK LTD. as a Deputy Manager in WBO (Wholesaler Banking Operations).

Major Job Responsibilities

  • Managed multiple banking operations with analyzing the processes by way of various GL (General Ledger), reports & reconciliations.
  • Arranged joint session with business & operations team for process & product trainings.
  • Lead the two pilot projects (Mpaisa) with successful implementation and also a part of migration of Flexcube system in the bank.

Process Handled:

  • Client On-Boarding - KYC & AML

Role: Worked on client on boarding process in due diligence check(KYC & AML) for CASA deposits (Pvt. Ltd, Public Ltd, Proprietorship, partnership firms) according to the regulatory and bank standards with AML checks like negative media, suspicious transaction reporting (STR) and PEP (politically exposed people) identification.

  • Retail Assets Ops.(Loans)

Role: Handled end to end loan processing operations for products like PL/BL(Personal Loans/Business Loan), AL(Auto Loan), TW(Two wheeler Loan), TRL, Agri loans of RA Ops.This contains all steps from loan login to final disbursement of loans with underwriting & system check including post disbursement customer service as well.

  • Transaction Banking or Clearing Ops

Role: Handled transaction banking operations through cheque, RTGS, cash deposit receipt with GL’s reconciliations at EOD.

Mar 2009 - Jul 2010

Business Analyst(T Programmer)

B. M Birla Group

Worked with B.M Birla Group IN Birla Institute of Technology (BIT) as a Business Analyst.

Major Job Responsibilities:

  • Worked on business analytical part of two business modules (MIS Module & Content Management Module) by using business process flow diagrams & data flow charts
  • Coordinated with four international clients to understand there functional needs through deep analysis of their operation process & further prepare the complete documentation & reports on the same.
  • Worked on reporting & presentations for client calls & discussions
  • Arrange live trainings for the clients to make them understand of functional working of modules & record the feedback for further enhancement or changes

Education

Education
2009

M.B.A-Finance

Rajasthan Technical University
2007

B.E-Computer Science

U University of Rajasthan

Skills

Skills

Management Knacks

Strong analytical view, Project Management, Presentation & intellectual skills with client, Decision Making, People Management, Time Management

IT Knacks:

MS-Excel (Store Procedure, V look up), MS-Access, MS-World