Suneet Rastogi

• Sanctions development
• Responsible for leading Sanctions development program which is initiated due to Internal audit remark and comprise of 4 work stream
• My responsibility is the execution of the strategic program
• We have involvement from external consultancy and Training, Tech, Compliance and 1st and 2nd line compliance with in group
• I am responsible for fluid execution of the program and assuring to meet the deadline (Q1 2022) provided this is agreement with the regulator
• Responsible for the implementation of new Target operating model for implementation of new sanction screening platform which reshapes the way customer sanctions screening is done
• The program involves coordination across all the process managers with in KYC and Sanctions screening team (over 50 + investigators), integrate the KYC management with in Screening management and getting the investigation guidelines as well as Screening SOPs
• Conduct independent review of the Sanctions Process and solutions(future technology development for sanctions Monitoring)
• Development of Sanctions framework
• Coordinated trainings for circa 2500 employees on multiple sanctions topics which required as per the recommendation to uplift Sanctions knowledge in the Group
• Program manager for the FRT created for management of new sanctions / orders from regulators
• Program manager for the Sanctions KRI development recommended as per the Risk appetite statement developed by external consultancy as part of the review of the Sanctions program
• Post completion of the program, I will continue developing the remarks to develop new value stream and fill the GAP with in Sanctions monitoring for Nordea.

• E2E responsibility to lead Data initiatives/IT solution/RPA & Process streamlining changes for wealth Management across Nordics, Lithuania and Luxembourg
• Work stream is about reviewing the KYC & Transaction Monitoring systems & processes across Private wealth management & Asset management and Lead solution development to enhance quality & reduce FTE Cost
• This involves performing time and motion study, Benefit quantification, Solution development, Pilot and at last Organization implementation
• Directly manage a team of Business Analysts, Project Managers with support from Group IT Development Managers
• Develop strategies to reduce costs, manage risk, and enhance services with In ODD, Transaction monitoring and Sanction screens across Private Wealth Management and Asset management
• Ensure that the system impact for any related systems are taken into effect in the change management process prior to implementation
• To build effective and robust technical platforms for the AML in coordination with the Compliance and Business Users, Operations & Technology Groups around the world, a diverse group of vendors/service-providers for technology and related services, ARR and Regulators
• Leading the Business analytics initiatives to support automated decision and Management info for KYC related data points
• Coordinated Wealth management MI which covers Financial Crime KRIs and KPIs
• The project was developed by consultants from PWC
• This MI was needed to support monthly Group Risk Committee, Wealth management Risk committee, annual Group wide risk assessment as well as any regulatory requests from FSAs and regulators
• Heavy interaction with front and back office technology groups and specifically ensure tight integration between product processors, customer master systems, etc
• With AML platforms globally
• Strategically define the vision for AML systems in wealth management and projects to be created related to these systems or having impact to these systems
• Interaction with 2nd line Compliance, Group Compliance and Business Line senior management to assure Group policies are adopted while development of systems
• Provides direct management, feedback, instruction, guidance and direction to a large staff of compliance professional, from analysts to supervisors
• In addition to above, I was also responsible for financial crime risk advisory for onboarding, Investigations off boarding for customers with in wealth management and its subsidiaries
• I was also SPOC for TM, Sanctions and KYC related to changes as per group adoption of respective policies
• Last, I also managed Asset management fund products financial crime risk review before launch of the new/ changed fund products.

• Compliance Controls
• Lead the Regulatory Reporting & Analytics support for AML & Compliance Reporting in Financial & Non-Financial Risks
• Team Management of 3 Data analysts and Data scientists based in Lithuania
• I am Responsible to coordinate & design local required communication for compliance status reporting
• Manage project plans and all related documentation for upper management with respect to compliance projects (Employee Trading Audit, Risk Control Development, Investor protection, ODD performance, KYC Process Review)
• Responsible to develop and drive Analytics Strategy and developing COE to support single truth data and analytics support with in Wealth Management Organization
• Provide Advisory to develop internal control tests to verify performance with group's policies and procedures
• Responsible for providing Business intelligence reporting and analytical support with Compliance and AML reporting across Wealth management
• Business Partner with IT to enable data setup for business analytics
• My Role involves end-to-end project management before we can utilize the data for Dashboards and analytical purposes
• Activities involves(not limited to) Source analysis , Requirement gathering and business mapping , Use case design and control , Estimation and IT budget control , Testing and approval , Stakeholder management , Documentation & change management .

• Risk & Control)
• I was responsible for Financial Crime Business Area and Group level reporting for Local as well as Group Risk Committee
• I was responsible for review of KPI across Governance, KYC, TM and Sanctions across all business areas, performing quality check and collecting commentary across the reported performance
• Managed team of two junior Analysts that provide and execute the Group level reporting on Financial Crime through QlikView
• Responsible to coordinate local required communication for Group financial crime prevention requirements across Wealth management and wholesale banking to ensure proper non-financial business risk understanding and effective implementation
• Supported a Single Truth Data repository in Hadoop for Transaction Monitoring and Sanction screening
• Given Recommendation on RPA implementation and Best practices followed in Analytics
• Owner of the KPI directory and responsible to review the KPIs across different work streams and business areas based on the performance and recommendation from SMEs
• I was also responsible to investigate on the data availability and quality of data
• Supported end to end SFSA 4th AML directive reporting for all legal entities across Sweden
• Acted as project manager and SME to review the queries and reporting it in time( before end of April 2018)

• Lead end-to-end group wide financial Crime MI & Reporting Framework, Matrices catalogue for Group Wide Risk committee and close the DFSA finding to provide monthly reporting
• Performing Gap analysis on the data, available Vs expected by regulators by interviewing Retail, Wealth and wholesale Business risk implementation teams
• Support in developing Single truth Hadoop platform to support Financial Crime investigation and data supply for ongoing and adhoc reporting
• Expertly manage complex mission-critical strategic Financial Crime analytics by balancing sound business judgment, a strong sense of urgency, and quality-driven focus
• Participate as SME with in Group wide change projects with in Sanctions and Transaction Monitoring Space
• Provide ongoing support for Group Wide risk assessment – Financial Crime
• I was also responsible to anchor requirements for 4th AML Directive implementation and required reporting in all the branches across Sweden.

• Lead team of 8 Project Managers / Business analyst to support the Global Robotics implementation Strategy
• I was also responsible to handle international teams time to time based on the implementation in specific markets
• Working in conjunction with Fraud and Compliance, implemented a new AML transaction monitoring system from the ground up
• In the role of Program Manager with in Global Transformation, my responsibilities were to implement robotics solution (RPA – Blue Prism) across Global markets for Cost optimization and risk reduction
• Responsible for end-to-end budget allocation, Process review, Cost – benefit analysis and overall execution
• Management of process for tracking breaches, waivers and dispensations, providing regular updates and monitoring completion of agreed actions
• Provide guidance and assist global staff with AML/KYC related escalations within the specific global Zones
• Composes and maintains all relevant desktop procedures to support activities performed in Wealth Management/Private Banking
• Perform due diligence reviews on new clients and subsequent reporting to New Client Review Committee

• Completed data cleaning and data validation of existing spreadsheets to promote robust data management platform, resulting in accurate data analysis and entry.
• Identified, analyzed, and interpreted trends or patterns in complex data sets by finding correlations and visualizing with charts.
• Developed and initiated projects, managed costs, and monitored performance.
• Led the team in defining and delivering BICC deliverables like Data Quality, Metadata Strategy, Data Stewardship, Master Data Management (MDM), Communications, Best Practices, Standards, Policies, and Training
• Identified plans and resources required to meet project goals and objectives.
• Developed and initiated projects, managed costs, and monitored performance.
• Coordinated with cross-functional teams to resolve project issues and mitigate risks.
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• Created various Excel documents to assist with pulling metrics data and presenting information to stakeholders for concise explanations of best placement for needed resources.
• Utilized data visualization tools to effectively communicate business insights.
• Identified, analyzed and interpreted trends or patterns in complex data sets.
• Extracted and interpreted data patterns to translate findings into actionable outcomes.
• Led consulting project to identify and analyze the gaps in existing data requirement and provide solution towards future data “Data Mart” for Sales & Risk Audit team

• Led consulting project to define a simple 3-step process for technology rollout, which includes Proof-of-Concept, Rollout and Production
• Conducting critical SWOT & Root cause analysis of business operations, which yield recommendations to business regarding viable business solutions and process implementation
• Rapidly prototyped new data processing capabilities to confirm integration feasibility into existing systems.
• Contributed ideas and suggestions in team meetings and delivered updates on deadlines, designs, and enhancements.
• Conducted data modeling, performance and integration testing.

• Providing training to NHT (New Hire Trainees) for the process and product of HP & COMPAQ
• Provided subject matter expertise on all company offerings.
• Developed new and improved training programs to fit underserved areas.
• Provided coaching and mentoring to employees.

Proved successful working within tight deadlines and a fast-paced environment.

• Used strong analytical and problem-solving skills to develop effective solutions for challenging situations.
• Gained extensive knowledge in data entry, analysis and reporting.
• Proven ability to develop and implement creative solutions to complex problems.