Richa Seth

Supported AML/KYC compliance operations at KPMG Global Services, using research tools such as Lexis-Nexis and Bloomberg to strengthen diligence and risk consulting. Helped deliver compliance-focused documentation and operational work to support financial integrity.

Led end-to-end delivery of change initiatives by collaborating with senior management and clients, ensuring alignment of solutions with business objectives and regulatory requirements. Partnered with cross-functional teams to define project scope, objectives, and deliverables, ensuring seamless execution and compliance with business goals. Conducted stakeholder interviews to capture business requi

Anti-Money Laundering (Periodic and Rolling Review)- Current project
Job Description:
•AML/KYC Rolling Review of USA based Investment Banking Client.
•AML/KYC Periodic Review of UK based Corporate and Institutional Banking (which involves customer identification, verification and other due diligence procedures) of corporate companies as per anti money laundering/KYC guidelines.
•It involves detai

Conducted comprehensive AML/KYC rolling reviews, ensuring full compliance with regulatory standards and minimizing potential risks for the investment banking client. Executed in-depth KYC research and due diligence to ensure accuracy, completeness, and adherence to the latest regulatory requirements. Performed detailed quality checks on KYC documentation, identifying and rectifying discrepancies t

Conducted real-time transaction monitoring to detect and analyze suspicious activities, ensuring compliance with regulatory standards and mitigating potential risks during client onboarding and account management. Developed and prepared Standard Operating Procedures (SOPs) to standardize transaction monitoring processes, ensuring consistent and accurate application across teams. Acted as a liaison

Fidelity International - UK Process, (July’ 08 – Feb’11)
1. Controls Department (November’ 08 - Feb’11)

Job description:

• It is involved with the Control Reports.
• AML Metrosoft software, where in Politically Exposed Persons (PEPs) and Sanctions (High risk individuals) are listed on a screen and we have to compare them from the Fidelity client database.
• Testing of Statement & Valuatio

Worked on back-office transaction monitoring processes for Fidelity International (UK process), including control report testing and investigations. Compared PEPs and sanctions listings in AML Metrosoft against client databases, maintained procedures and training materials, and produced daily/weekly/monthly volume statistics.

Completed a two-month internship as assistant to the Systems Manager in the Finance Department at NBCC.

Two months internship in National Building Construction Corporation (NBCC), as assistant to systems manager, Finance Department.

Completed an Executive MBA (MBA) program at IIM Lucknow in 2014–2015.

Earned a Bachelor of Business Administration (BBA) at JIMS from 2004 to 2007.