E C Shyam Kumar

Triplicane, Chennai, India | +91 98418-91038 | steveshyam@gmail.com| DOB: 30.06.1990

SUMMARY
• 11+ years of professional experience in Banking Operations & Healthcare Compliance
• Well-versed in Legal Compliance, Compliance Monitoring and Analysis, KYC, CDD, Operational Risk,
Third Party Risk Management, Fraud Analysis, Credit Card Chargebacks
• Played remarkable role on remediating the New and Existing Customers in Wholesale banking
• Experience in Data Analytics using Qlik View & Qlik Sense platform
• Strong interpersonal and analytical skills with proven ability to maintain efficient team environments
while producing effective results and solutions
• Expertise in managing and suggesting alternatives to enhance the service standards to further
improve the process quality for business excellence
• Fluent communication in English, Tamil, Telugu; CSR Volunteer, Event organising committee member
WORK EXPERIENCE
Legal Compliance Monitoring Analyst February 2018 – Present
Assistant Manager – Compliance Review & Analysis
Philips Global Business Services – Chennai, India
• Successfully implemented Global Compliance Monitoring Program for NAM Philips Healthcare.
• Ongoing monitoring Philips internal controls, processes, privacy policies, Code of Ethics and
Professional conduct, auditing anti-bribery, anti-corruption programs and Medicare (and Medicaid)
Fraud and Abuse Laws.
• Exclusions List Monitoring, blocking suppliers and contractors who are part of Exclusions List
• Taking disciplinary action against employees who made violations against Philips Code of Conduct
and external regulations.
• Solving employee’s queries on Internal policies, training requirement, creating KPIs for each
monitoring activity, effectiveness of the program and use them to drive improvements that lower
Philips overall risk profile KPIs.
• Effectively collaborating with Legal Counsel, Privacy officer, Compliance officers, Government affairs
team for regular trend review and evaluation cycle of monitoring results to improve algorithms,
search criteria, and develop a risk assessment process to help prioritize existing and new risk areas
for monitoring with the team; Make sure the process is always audit ready with all the process
documentation in place.
• Implemented Artificial intelligence on exclusion monitoring which resulted in 32 Hrs saving for a
month.
• Organizing meetings with Compliance Officers and Regional Reviewers to present top outliers
through Qlik dashboard and PowerPoint presentations.
• Working closely associated with Implementation team, Country Legal officers, compliance officers,
Privacy officers to develop monitoring program for their country as per their country’s regulatory
requirement.

Assistant Manager June 2016 – January 2018

Operation Risk Analyst – Vendor Risk Management, Third Party Operations.
Citicorp Services India Private Limited – Chennai, India
• Executed common, standardized third-party risk management processes
• Reviewed contracts against Citi standards, identified and reported gaps.
• Involved in setting up the Third-Party Utility team, establishing and operationalising processes across
supplier life cycle for effective vendor management.
• Accountable for activities that involved risk management, due diligence, ongoing monitoring, and
verification of business controls like Compliance assessment, Customer Compliance etc.
 E C Shyam Kumar
Triplicane, Chennai, India | +91 98418-91038 | steveshyam@gmail.com| DOB: 30.06.1990
• Tracked and reported the status of Reutilization project to avoid duplicate requests sent to Third
Parties.
• Followed escalation matrix to retrieve response from business activity owners and third-party
officers on vendor responses and gap remediation
• Actively performed UAT for iTPU (Workflow cum process automation tool).
• Provided risk advice to the business group and Business activity owners, Third party officers.
• Monitoring Due Diligence controls, as indicated by the Third-Party Risk Assessment Process
Checklist, performed in line with the requirements of the Third-Party Risk Management Policy and
standards.

Business Support Analyst 2 August 2012 – May 2016

Customer Due Diligence and KYC – Business Support Team
Wells Fargo International Services (P) Ltd – Chennai, India
• Onboarding new customers (Banks, NBFI, Multilateral Institutions, MSBs, Central Banks, Offshore
Banking Units, Sovereign wealth fund institutions) and ongoing monitoring of existing customers
adhering to GFI Compliance policy and performing KYC globally.
• Negative news disposition, name screening, verifying customer bank’s Patriot Act Certificate, Articles
of Incorporation, License, assessing Annual Report, AML Questionnaires.
• Reviewing compliance call memo, risk underwriting template, and updating the company
compliance details in CRMS tool.
• Verification of customer financial background, ownership structure, customer base
• Handling customer risk tracking alerts, customer exceptions alerts, relationship manager queries
• Monitoring monthly customer transaction reports and sending to global relationship managers
• Managing the KYC platform, track and reflect the changes as issued by AML/CTF bodies, FATF and
Wolfsberg group.
• Reviewing world check and Alacra documents; collecting customer information from bank
regulators, customer website, and third-party resources like Banker’s Almanac, SNL, Reuters etc.

Process Associate
Tata Consultancy Services E-serve – Chennai, India
Citibank Credit Card Process August 2010 – July 2012
• Resolving customer credit card disputes and using appropriate reason codes to raise chargebacks,
retrieval request
• Investigating and analyzing fraudulent transactions as per VISA and Master Regulations, always
comply with the client’s SLA and Turnaround Time with high performance level
• Reporting fraudulent Merchant cases to client, handling general ledger: Funds disbursement, sundry
account, incoming funds, write off cases
• Files Pre-compliance, compliance, Pre-arbitration, arbitration in VISA and MASTER association
• UAT testing, preparing, and reporting daily productivity and monthly MIS report.
ACHIEVEMENTS
• Implemented exclusion monitoring program for United States (State-wide, OIG & SAM) to adhere
with regulatory compliance
• Received “WAY TO GO” award for completing project for internal audit requirement using CRMS tool
EDUCATION
• MBA Marketing Marketing from Loyola College – Pondicherry University, Chennai.
• B.SC - Computer Science from Patrician College – Madras University, Chennai.

CERTIFICATION
• AML & KYC from Indian Institute of Banking and Finance
• GDPR Compliance