Kishan Kumar Ananthakrishnan
Compliance Monitoring & Reporting Lead
Current City : Kuala Lumpur
Summary
Dedicated and results-driven Compliance professional, with a proven track record in implementing effective compliance frameworks and fostering a culture of ethical excellence. Seeking a Senior Compliance Manager role to leverage extensive experience in regulatory compliance, risk mitigation, and governance, to lead strategic initiatives, drive organizational compliance maturity, and contribute to achieving business objectives while ensuring adherence to evolving legal and regulatory standards.
Overview
14
14
years of professional experience
2
2
years of post-secondary education
6
6
Certifications
5
5
Languages
Work History
Monitoring & Reporting Lead
British American Tobacco
11.2021 - Current
- A senior compliance lead who's in charge of managing services across Sanctions, Conflict of Interest, SoBC Signoff and Anti Financial Crime
- Managing / Coordinating compliance process simplification and automation initiatives using project management methodologies (waterfall and agile)
- Managing / Coordinating the deployment of existing system / apps to DRBU/End Markets
- Develop compliance framework and policies to meet compliance obligations
- Administering compliance system/apps - including user access/privileges and updating/maintaining master data
- Coordinating and conducting UAT of enhancements / fixes to existing compliance systems / apps
- Provide super user support on compliance system / apps
- Being Single Point of Contact (SPoC) with IDT on all system/apps enhancements/fixes/initiatives
- Developing and coordinating training plans, solutions and collateral including e-learning and identification and collaboration with appropriate platforms
- Developing process and system guides
- Developing communication plans and collateral, including identifying appropriate modes of communication
- Supporting full roll out and adoption of compliance systems/apps across all DRBUs and End Markets
- Engaging with and communicate to all levels of the organization on updates to compliance processes and system innovations/fixes
- Collaborate with BI&C digitization SME in : Rollout of Global system enhancements, Developing BI&C system road map, Identifying new simplification / automation opportunities
- Contributed to continuous improvement initiatives by identifying areas for process optimization within the central monitoring function.
- Achieved a high level of customer satisfaction through consistent delivery of exceptional service standards in central monitoring activities.
Senior Manager
RHB Bank
05.2018 - 10.2021
- A senior compliance manager, managing a team of 12 Compliance Analyst, responsible for the development of forward-looking compliance frameworks and standards, to meet the organization’s compliance and regulatory obligations
- Management and coaching of 6 direct and indirect reports based in Cambodia
- To provide assurance to Board and Senior Management on the Group's compliance status and risk levels
- To develop forward-looking compliance framework and standards to meet compliance obligations
- To make RHB Group compliance ready for future challenges and opportunities
- Develop compliance framework and policies to meet compliance obligations
- Continuously assess, review and adjust the compliance framework and policies to ensure that they are consistent with the Group's business and risk strategies
- Provide guidance to staff to give appropriate advice to compliance personnel and business and functional groups on compliance related policies and programs
- Analyze current compliance environment and determine new compliance risks
- Develop various matrices to identify Compliance Hot Spots and Risk Profiling for RHB Group functions, products, services / channels and processes
- Ensure the matrices are constantly updated to ensure relevance
- Perform research on new developments and keep the Compliance Management and staff apprised for future challenges and opportunities
- Provide leadership to enable staff to achieve full potential
- Implemented and developed operational standards, policies and procedures in regards to AML and CTF
- Held monthly meetings to create business plans and workshops to drive successful business.
- Provided strong leadership to enhance team productivity and morale.
Manager
Uber
05.2016 - 03.2018
- An operations manager in a start-up logistic company that helps drive growth of one of the fastest growing e-hailing companies ever in South East Asia which relies on data added with a rare combination of analytical thinking and inter-personal ability to manage partnerships
- Built and run as well as needed to grow Uber's business in Malaysia both in the main city of Kuala Lumpur as well as smaller expansion cities within Peninsular Malaysia
- Responsible for managing and mentoring a group of 5 senior compliance executives to curate e-hailing compliance regulations in South East Asia
- Responsible for growth of partners on the Uber platform
- Managing quality of partners on the Uber platform
- Heavy metrics analysis and product driven from seeing partners driving pattern to evaluating economic and strategic costs that benefit partner's incentive programs
- Drive analysis on important decision that inform key business initiatives, including marketplace balancing effort, promotion targeting decisions as well as customer engagement programs
- Identify operations weaknesses and help improve or innovate new processes
- Build, maintain and communicate detailed reporting at city-level, regional and mega-regional levels
- Collaborate with other city and central operations teams, as well as marketing and product teams, to ensure that insights inform broader strategic initiatives
- Support centralized product and feature rollouts, incorporating the local nuances of our city
- Developed an analytical framework as well as built models and optimize process in regards to e-hailing financial crime
- Analyze the impact of cyclical ridership trends on partner earnings and driving patterns in smaller markets, e.g College markets, beach destinations, etc
- Launched new products like uberPOOL in Manila and Singapore, leveraging understanding of pricing, customer behavior, nuances of geographic area, and other relevant factors that constitutes in share riding
- Successfully coordinated with public affairs team and managed to quantify the impact of potential regulations on local operations
- Launched multiple gigs and roll out features in Kuala Lumpur that got Malaysian citizen excited to participate and use more ride hailing such as Uber Ice cream, Uber Starbucks, Uber Star Wars and Uber-12 Christmas
- Built and developed strong relationships with senior cross-functional teams (e.g., RegionalOps, S&P, Marketing, People Ops, CommOps, Greenlight, Legal/Regulatory, etc.)
Assistant Manager
PayPal
10.2014 - 05.2016
- A compliance agent within financial services that ensures our customers are in compliance with our Compliance Policy as defined in PayPal's Terms of Use and also ensures that appropriate controls and monitoring are implemented in order to satisfy our obligation to the appropriate regulatory authorities
- Responsible for the review of customer accounts and applications related to high risk products and features, reports of fraudulent or unfair practices and / or policies and programs
- Respond to customers' inquiries via phone and e-mail in an efficient and effective manner related and perform phone outreach as and when needed
- Keep up to date on applicable regulations and utilize independent judgement in the application of those regulations
- Work assigned queues, emails and service request as well as other Compliance related items on a daily basis
- Maintain professionalism in interactions with PayPal personnel and customers at all times
- Ensure that PayPal implements the appropriate controls and monitoring needed to satisfy its obligations to the regulatory authorities
- Ensure that customers are in compliance with PayPal Policy as defined in PayPal's terms of Use
- Ensuring Anti Money Laundering regulations are adhered to and monitor account activity accordingly
- Process queue items such as KYC, KYB, SAR, PEP, WLM, OFAC, SDN and Transaction
- Monitor in a timely manner as measured against communicated departmental targets
- Provide feedback to management regarding necessary changes and updated including policies, upgrades and potential workflow changes
- Assisted team leaders in successfully migrating two (2) process from Kuala Lumpur to Chennai without hiccups by ensuring that new trainees are well trained and equipped with necessary skills needed to run the process with minimal supervision
- Successfully mentored and lead 3 batches of newbies in line with Australian KYC & KYB programs that migrated from Australia to Malaysia
- Constant top performer in the team by achieving and receiving numerous awards for the lowest average handling time and error rate in handling transaction and cases for the whole of 2015
- Assisted in macro programming and creation of excel tracker to gauge the error rates of the whole compliance team that successfully lead to the compliance team bettering error rate count and keeping it at a very minimum
- Lead many team learning session and side by side session to ensure that all team mates understand specific workflows and also continuously reach outlined average handling time of each queues
Global Support Executive
HSBC Bank
01.2013 - 12.2014
- A junior executive whom supports business partners from Canada to perform credit and risk checking on clients
- A fast learner in the team that was given the task to further advise clients on the credit facility that they are pledging with us
- At the same time was given the privilege to support the approver as an assistant approver
- Performing checks, renewals and release related to insurance and securities pledged under HSBC Bank Canada using the Canada Securities Registration System (CSRS)
- Manage consumer lending credit risk for unsecured and secured lending products across multiple channels and platforms
- Process deals that consist of foreign exchange and commodity booking and maturity for clients and at the same time advise and assist clients in a take up payment of a foreign exchange trade and commodity
- Prepare monthly banking report on securities and insurance pledged with HSBC Canada
- Classify customers based on their credit lending and facility grading by aliasing with the onshore team
- Produce monthly billing reports for clients and the onshore team for securities and insurance pledged under the Canadian Registration Securities System
- Opening new banking accounts for companies associated with HSBC Bank Canada
- Promoted to assistant approver/checker within a period of 6 months joining the company
- Assisted team leaders in successfully migrating the process from Kuala Lumpur to Calcutta without hiccups by ensuring that new trainees are well trained and equipped with necessary skills needed to run the process with minimal supervision
Senior Global Support Executive
HSBC Bank
12.2013 - 09.2014
- A senior executive whom supports business partners from London to monitor the derivatives market regarding swaps and foreign exchange with regards to post trade functions
- Ensure that daily operations of interest rates swaps are executed, indexed and matched off in the market within the T+2 time frame set by regulators
- Follow up issues with clients and the vanilla rates team if any technicalities occur with a trade pledged between client and HSBC Bank London
- Perform daily reports to check on outstanding interest swaps and foreign exchange that has yet to be validated from clients
- Assist clients on pre-matching of confirmations and settlements upon trades being validated and pledged into the market
- Serve as a liaison between customers and business partners to ensure that customer experience a smooth transition while pledging shares with HSBC Bank London
- Develop an excel model using excel functions enabling reports and daily trades to be monitored easily by fellow staffs
- Assisted in macro programming of staffs' daily tracker list
Intern & Junior Executive
Bursa Malaysia Berhad
10.2010 - 12.2010
- Joined as an intern and subsequently being hired as a Junior Executive to provide fresh ideas on identify and perform checks on out dated clients and sales of stocks
- Write monthly articles for newspapers in the business column on derivatives market
- Dealing with stock market on forward and spot contracts by helping clients to calculate and fix a specified rate of exchange to be traded
- Checking on monthly post sales and trading by using the Post Sales Illustration System(PSIS)
- Assist derivatives accountant on performing monthly reports reporting on trades and commodity being traded
- Trained on multiple software ranging from Excel programming, Prophet and Mathlab
- Assist product development team to conduct market surveys prior to launch of a new product
- Involve in departments sales projection
- Marketing new financial products and services
- Developed an excel model to compare the pre and post sales illustration by generating the report directly from the PSIS system to be tabulated on the monthly report
- Provided creative ideas to the product development team based on the market surveys conducted in designing of new product
Education
Bachelor of Science - Actuarial Science, Finance (Insurance & Banking)
Universiti Tunku Abdul Rahman (UTAR)
04.2009 - 01.2011
Skills
- Basic C Programming
- Prophet 5
- Sigma XL
- Microsoft Outlook
- World Check
- SPSS
- Adobe Reader & Acrobat
- Lotus Note
- SAS
- Microsoft Access
- Citrix
- R
- Microsoft Office (Words, Powerpoint & Excel with Macros)
- Convercent
- COUPA Risk Assess (CRA)
Certification
2019, Lean Six Sigma Black Belt, Currently Pursuing
Additional Information
A well-presented, industrious and highly personable individual who has an in-depth experience of the stock broking and banking industry. I possess a huge range of abilities from providing support to customers as well as leadership to junior staff. I am also able to gain the trust of customers by interacting with people from all backgrounds. Experienced compliance professional with a successful career in banking and the financial world, Enthusiastic and a fast learner who adapts and excels in challenging and competitive environment. Good interpersonal relationship skills that enables to handle clients and customers effectively. Quick thinker that can offer solutions using by using in depth knowledge of the Lean Six Sigma methodology. Able to work with productivity and objective targets aimed at the achievements of the company's goals
Extra-Curricular Activities
2004 - 2013, Represented the Kuala Lumpur State Badminton Team
2005 - 2008, Represented the Malaysian National Junior Badminton Team
Timeline
Monitoring & Reporting Lead
British American Tobacco
11.2021 - Current
Senior Manager
RHB Bank
05.2018 - 10.2021
Manager
Uber
05.2016 - 03.2018
Assistant Manager
PayPal
10.2014 - 05.2016
Senior Global Support Executive
HSBC Bank
12.2013 - 09.2014
Global Support Executive
HSBC Bank
01.2013 - 12.2014
Intern & Junior Executive
Bursa Malaysia Berhad
10.2010 - 12.2010
Bachelor of Science - Actuarial Science, Finance (Insurance & Banking)
Universiti Tunku Abdul Rahman (UTAR)
04.2009 - 01.2011
2019, Lean Six Sigma Black Belt, Currently Pursuing
2015, Society of Actuary Exam MFE/4 (Multiple Financial Economics), Band 7
2014, Lean Six Sigma Yellow & Green Belt
2013, Society of Actuary Exam MLC/3 (Multiple Life Contingencies), Band 7
2012, Society of Actuary Exam FM/2 (Financial Mathematics), Band 6
2011, Society of Actuary Exam P/1 (Probability), Band 9
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