Kiran H

Senior Manager, Compliance & EAML Examinations Programs

Apr 2025 - Present • 1 yr 3 mos

- Lead enterprise-wide AML/ATF and Sanctions examinations across business lines and legal entities to assess compliance with internal policies, regulatory requirements, and enterprise standards. - Oversee end-to-end examination activities including planning, risk assessments, fieldwork execution, reporting, and remediation validation. - Evaluate the design and operating effectiveness of AML controls, identifying regulatory, operational, and reputational risks. - Partner with senior stakeholders, governance teams, and business leaders to communicate findings, drive remediation efforts, and strengthen control environments. - Provide strategic guidance and leadership to examination teams while ensuring adherence to enterprise examination methodologies and quality standards. - Support enterprise regulatory readiness initiatives and ongoing enhancement of AML governance frameworks.

Manager, EAML Examinations

May 2022 - Apr 2025 • 2 yrs 11 mos

- Led risk-based AML/ATF and Sanctions examinations to assess the effectiveness of controls across multiple lines of business. - Conducted testing and validation of AML controls including KYC/CDD, transaction monitoring, sanctions screening, and suspicious transaction reporting processes. - Identified control gaps, regulatory risks, and operational weaknesses while providing actionable recommendations to enhance compliance programs. - Collaborated with stakeholders across Compliance, AML Advisory, Operations, and Business units to support remediation activities and sustainable control improvements. - Prepared and presented examination findings and reporting to senior leadership and governance stakeholders. - Contributed to the continuous enhancement of Enterprise AML Examination methodologies, reporting standards, and quality assurance practices.

Manager, AML High Risk/Enhanced Due Diligence

Jan 2019 - May 2022 • 3 yrs 4 mos

- Managed and coached a team of nine AML investigators responsible for high-risk customer reviews, enhanced due diligence (EDD), and complex AML investigations. - Led operational and process improvement initiatives, including workflow mapping for the implementation of the Actimize case management system. - Developed and implemented a new intake and triage process that increased monthly case closure volumes by approximately 30%. - Conducted quality control reviews of complex investigations involving high-risk businesses, non-residents, and Politically Exposed Persons (PEPs). - Worked closely with Compliance, AML Advisory, Fraud, and Technology teams to strengthen investigative processes and risk mitigation strategies. - Supported recruitment, onboarding, and development initiatives, successfully hiring and mentoring multiple AML professionals. - Developed frameworks and procedures related to cannabis-related AML policy and risk management requirements. - Facilitated team huddles and knowledge-sharing sessions focused on emerging AML trends, fraud typologies, and investigative best practices.