1. Subhash C
Email: subhashckannur@gmail.com
Mob: +91 9538293134
MBA (FINANCE) Graduate
PROFILE AND STRENGTHS
Backed by strong academic credentials, MBA (Finance), B.Com targeting assignments in the Field of Compliance, Operations, and
Finance; possess zeal to make a mark in the Industry and to further company’s objectives and goals within timelines.
Over all 4.10 years of experience as Team Member, KYC- Analyst and Compliance Officer. Prepared to manage risk and design and
implement profitable goals for companies. Through research, detailed records and solid communication skills, will always maintain a
high level of service for clients and employers at all times.
PROFESSIONAL EXPERIENCE
Herbalife India International Private Limited
JOB PROFILE: Business Practices and Compliance - Compliance Officer
Total experience: 2 Years and 7 Month.
Duties and Responsibilities
• Verify and Monitor the daily Order & transaction Report generated from Business Intelligence Tool and submit the report to
the respect Region/ Team.
• Follows the escalation/complaints procedure guidelines for all instances of Distributor contact where a complaint occurs or
where there is a lack either the knowledge or information to resolve at point of contact and /or the given complaint may
explode to external agencies, legal instances.
• Investigated international high risk jurisdictional correspondent Order transaction alerts.
• Reviewing complaints received from different sources about the Website/Marketing Plan Violation and opening case file on
the same (APAC countries) and archiving documents in the share drive.
• Organizing and archiving each Case file folders systematically in order ensure easy retrieval.
• Perform testing and data validation, report creation, data extracts and personnel training.
• Regularly updated compliance programs or roadmaps offering details about Herbalife activities and regulatory requirements
to ensuring compliance with the regulations.
• Review and monitor internal procedures and practices to provide compliance with group and regulatory requirements.
• Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are
being appropriately evaluated, investigated and resolved.
• Conduct trainings on DEC for new Supervisors/TAB Associates to expand Distributor knowledge of how to conduct their
business in an ethical manner in order to prevent files being generated and improve their profitability.
• Maintaining the integrity of Herbalife, its Sales and Marketing Plan and its global distribution network of Associates.
• Identify compliance risks from every business line and manage them by providing training, advice, testing and monitoring.
• Work with the In-country trainer closely to ensure effective cross training and make sure all front line staffs have a clear and
alertness on possible violations.
• Ensure the team completes all clerical responsibilities associated with the above, including but not limited to letter
correspondence, e-mail, telephone work, general filing, and computer work.
• Collected, analysed and interpreted work inflow, and advised managers on the readiness of personnel, in order to plan and
utilize human resources more effectively.
• Creating Monthly reports and presentations for decision making and process improvement.
• Create pivot tables and modify spreadsheets to achieve analytical goals.
• Manage spreadsheets and maintain data to ensure accurate data availability for managers and decision-makers.
• Preparing Agenda & Meeting Minutes for Compliance Review to analyze the Risk assessment of the Associates.
(Apr 07, 2014- Nov 25, 016)

2. DBOI Global Services Private Limited
JOB PROFILE: Trade Finance - KYC Analyst
Total experience: 3 Months
Duties and Responsibilities
• Perform KYC checks for New Client Adoptions and Periodic Review adopted in New York region as per the framework for
effective prevention of Money Laundering and Terrorist Financing at Deutsche Bank, for business conducted in USA.
• Verifying and approving new accounts for the clients adopted in New York region.
• Investigated international high risk jurisdictional correspondent banking transaction alerts.
• Investigation of potential sanctions, PEP hits on underlying clients generated from automated alert software.
• Liaise with Sales Dept. & Business Managers to ensure relevant KYC documentation is extracted and processed.
• Liaise with the AML and Advisory compliance for escalations
• Conduct External research on each client to revalidate static data.
• Confirmation of external due diligence performed on the client
• Assisting the team in decision making and taking complete ownership of the situation
Business lines covered
• GCF – Global Corporate Finance
• CMC - Cash Management Corporate
• TF - Trade Finance
(Dec 23, 2013-Apr 07, 2014)
ING Vysya Bank Ltd.
JOB PROFILE: Core Banking Operations - Team Member
Total experience: 2 years
Duties and Responsibilities
• Perform KYC checks for SB accounts; Current accounts; CCOD accounts (Over Draft accounts); NRE & NRO accounts; Trust
accounts; HUF accounts.
• Verifying and approving new accounts for the clients adopted in India.
• Investigation of potential sanctions, PEP hits on underlying clients generated from automated alert software.
• Responsible for managing productivity, accuracy and timeliness as per benchmark requirements, reduction of
Quality/accuracy error %.
• Ensure effective and even distribution of workload on daily basis; ensure efficient utilization of team Associatess.
• Handle level one escalation, for process related issues
• Identify the process improvement initiatives in the team and work with the Team Manager for their implementation
• E-Tracker is the software used both in operations & branches, where in discrepancies will be updated and through which
Discrepancies will be resolved for those accounts in which KYC will be satisfactory.
• Verification (KYC process) of customer documents like Customer Information Form (CIF) for which KYC (Know Your
Customer) to be complied.
• CIF Creation of the customers in the system by verifying CIFs provided by Branch.
• Upload of Customers signature into the system available with customer data base, which is one of the essential & critical
activities.
• Day Tracker which is also an important & critical activity in which A/c activation part has 24 hours TAT after pre-verification
of KYC.
• Always had direct contact with Branch Officials to let them know about the flaws in KYC of customers, routed through
branch, which in turn, helps in reduction of error.
• Part of a team in Quality Analysis of Error Reduction in Data furnished by vendors while opening accounts.
• Provide account servicing solutions to the customers of the bank by resolving all post account opening issues such as
addition of joint a/c holders, signature updating, opening Term deposits, addition of LA holders to their A/c’s.
• Evaluating overall functioning of processes and suggesting ways to improve them to reduce TAT and cost.
• Handling senior management level escalations and providing end resolutions to customers.
• Experienced in critical operational units such as Quality control unit of the bank.

3. Business lines covered
• KYC for -HUF Accounts
• KYC for -Trust Account
• KYC for -Society Accounts
• KYC for –Pvt Ltd Companies
(Dec1, 2011- Dec 17, 2013)
EDUCATIONAL CREDENTIALS
MBA VTU
Nitte Meenakshi Institute Of Technology,
Bangalore, Karnataka
2011
B.com Kannur University
Phoenix arts and science college,
Cherukunnu,Kannur, Kerala
2009
Plus 2(Commerce) Govt higher secondary school
Cherukunnu, Kannur, Kerala
2007
S.S.L.C Govt welfare higher secondary school
Cherukunnu, Kannur, Kerala
2005
CERTIFICATIONS
 Tally 6.3.
 MS Office.
TECHNICAL EDUCATION
IT Fundamental Subjects • Windows XP and 7
• Effective presentation using Microsoft power point
• Configuring & managing windows desktop
Office Packages • MS Office(Word, Excel, PowerPoint)
• Well versed in Excel function such as pivot tables, filtering, sorting, graphs and MIS reporting, lookup,
etc
PERSONAL INFORMATION
Sex : Male
Date of Birth : 29-10-1988
Nationality : Indian
Marital Status : Single
Languages Known: English, Malayalam, Hindi, Kannada, and Tamil
Address for communication: #9, 2nd
Floor, 4th
‘A’ Cross, 3rd
Main sharjapura Road, Jakkasandra, Koramangala,
Bangalore, India-560034
Permanent Address: Cheruvattil House, Kunnanangadu, P.O Cherukunnu, Kannur, Kerala-670301