Deepak Singh

Led the collection and verification of client identification documents as per KYC/CDD procedures, ensuring compliance with regulatory requirements.
Reviewed investor onboarding, ongoing business relationships, and static data to ensure they met stringent AML/KYC standards within SLAs.
Conducted comprehensive risk assessments of clients, analyzing factors such as source of funds, ownership structure, and transaction activities.
Executed customer due diligence investigations, including sanctions list screening, PEP checks, beneficial ownership verification, and background checks.
Collaborated with clients to gather necessary documentation for swift and compliant onboarding processes.
Maintained up-to-date KYC records in strict adherence to Caceis' policies and regulatory frameworks.
Coordinated with legal, operations, and relationship management teams to ensure seamless client onboarding and adherence to AML/KYC regulations.
Produced detailed KPI reports for management, facilitating informed decision- making and regulatory oversight.

Supervised a team of 5 associates by offering support and constructive feedback
Review and approve the trades, wire movements for subscriptions, redemptions, transfers, etc. in the system
Review various reports such as Board Packs, Risk Registers, etc., to share with the Board of Directors
Constantly work on process improvement techniques to improve process efficiency and team productivity
Coached and mentored team members effectively, regularly assessing knowledge and skills gaps and implementing corrective action.
Prepare and review the minutes of meetings, emails, and calls with the client for the outreach process.
Communicate organizational messages from upper management to the team and vice versa

Conducted thorough reviews of capital activity transactions to ensure AML/KYC compliance.
Coordinated with clients and internal teams to address and resolve AML/KYC-related queries within established deadlines.
Oversaw the review of FATCA and CRS tax regimes, including the validation of W-9, W-8IMY, W-8BEN, W-8BEN-E, CRS, and Self-certification forms for compliance
Performed AML checks on investors, utilizing tools to identify and mitigate risks.
Ensured accurate processing of cash movements related to capital activity, in compliance with AML regulations.
Conducted KYC review sessions and refresher training for the team, enhancing their ability to meet regulatory requirements