Reference
38955
Type
Permanent
Location
London
Category
Compliance

Personal Profile

A highly motivated financial services Manager with several years’ experience working within AML/KYC fields within financial organisations. Excellent team player that has demonstrated initiative and excellent interpersonal skills. Possesses a strong ability to relate to people at all levels across multiple jurisdictions. Strong communication, sound problem solving and thorough planning.

 

Education & Training:

  • Bsc (Hons) in Financial Services/Associateship (ACIB)
  • BA (Hons) Economics 2.1
  • ICA International Diploma in AML and Compliance

 

Key Achievements:

  • Nominated for Team of the Year for the work undertaken in 2014, 2015 and 2016 in KYC and client On Boarding
  • Nominated for Outstanding Person of the year – 2015, 2016 and 2017
  • Lean Six Sigma Green Belt award for process efficiency in client on boarding
  • Formal Recognition award for my secondment to Poland. This training consisted of client of boarding, KYC , AML and due diligence.

Career History

KYC Team Manager – Financial institution– October 2018 to December 2019

  • Leading the KYC team across multiple offices throughout Europe (Luxembourg and Copenhagen)
  • Achieving and deliver results matching the company strategy through all KYC / AML processes
  • Undertaking client reviews of AML and Customer Due Diligence throughout the UK and Europe to ensure the appropriate policies and procedures are implemented
  • Ensuring regular one to one meeting as well as team management meetings. Setting Team Objectives and delivering training throughout the team and the wider organisation
  • Establishing and maintaining close and productive collaboration with the Compliance Department and other stakeholders for continuous development of strong and fit-for-purpose KYC policies and procedures
  • Conduct SDD, CDD and EDD quality assurance reviews for new and existing clients
  • Work closely with the client relationship colleagues for the most optimal implementation of KYC policies and procedures in an efficient onboarding and ongoing maintenance process, and be actively involved in product development
  • Producing and maintaining detailed customer profiles of clients, ensuring that their Anti Money Laundering deterrence policies, procedures and controls are in accordance with regulatory information. Project management of several company and department initiatives including new vendors for products.
  • Bringing best industry practices to bear across processes and projects and stay tuned in relevant market developments
  • Implemented FATCA and CRS within the KYC process and provided training to internal stakeholders

 

Deputy Head – Client Life Cycle Management (CLM) UK and Channel Islands – Banking/Financial Services organization  – December 2017 to October 2018

  • Leading a team of 15 Analysts in CLM both in the UK and Channel Islands. Undertaking regular one to ones and coaching meetings.
  • Conduct Due diligence and Know Your Customer (KYC) research for clients, as part of the business-wide Anti-Money Laundering (AML) Compliance remediation process.
  • Analysis of accounts and client information according to prescribed internal control policies and procedures.
  • Pro-actively managing the full end to end client on-boarding of Private Banking clients. Maintaining a direct relationship with many of the more intensive clients. Interacting with other bank departments and group offices to improve performance
  • Identification and production of information required to satisfy the Bank’s KYC due diligence policies and processes.
  • Ensuring that negative media alerts from client screening reviewed and escalated where necessary.
  • Package client due diligence research and documentation for review by Relationship Managers.
  • Delivering highly professional customer service with a drive to reduce costs. Positive feedback received from clients regarding service improvements, which have been achieved through constant contact, regular visits, being proactive with clients and by building and maintaining positive relationships with all parties ensuring customer retention/ recommendation

 

Team Manager for Large Corporate and Corporate Leverage – Banking/Financial Services organization – May 2014 – December 2017

  • Leading a team of Eight Case Managers in Client on Boarding for both Large Corporate and Leverage Finance areas
  • To support the Head of Corporate Client on Boarding in the delivery of a first-class end to end On Boarding experience by ensuring first class customer service is provided
  • Undertaking Client Due Diligence for all new clients at the account opening stage; ensuring documents are accurately prepared, as well as working effectively to ensure a seamless, quality service, whilst at the same time as ensuring the bank complies with all regulatory requirements.
  • Responsibility for ensuring the KYC for Large Corporate Clients is conducted in accordance with policy and procedures and the necessary approvals are obtained for Higher Risk relationships.
  • Undertaking complex account opening projects for both European and Global deals, particularly where international accounts or significant numbers of accounts are required, liaising with various colleagues throughout other offices around the world to provide a single point of contact.
  • Providing coaching, ensuring development activities are a high priority within the Center through regular and proactive use of Personal Development Plans.
  • Continually manage and reassess the operational risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructures, and the impact of new technology

 

Know your Customer Analyst (KYC) – July 2013- May 2014

  • Analyse the risk associated with the client and provide approval from a technical perspective. Recommend/undertake further due diligence where required. Undertake reviews of extended due diligence to assess risk.
  • Perform research via internal and external sources, gather and analyse documentation in accordance with regulatory KYC requirements. Adhere strictly to compliance and operational risk controls in accordance with the Bank and regulatory standards requirements.
  • Producing and maintaining detailed customer profiles of the banks (Global Banking) clients, ensuring that their Anti Money laundering deterrence policies, procedures and controls are in accordance with regulatory requirements
  • Client onboarding experience of analysing a wide variety client types, financial institutions, quoted companies, private companies, hedge funds, funds, SPV’s and partnerships. Managed onboarding cases across all clients, trading and sales desks, in line with Financial Crime and Compliance policy

 

Professional Skills & Abilities:

  • The ability to create develop and maintain the company’s image through having a thorough understanding of the company’s products aims and policies
  • Excellent interpersonal and communications skills and the ability to influence at the senior level
  • Ability to prioritise and manage conflicting demands
  • Proven experience of working with offshore teams and driven through quality improvements
  • Extensive experience in the Finance and Banking industry environment (e.g, fund administrator, brokerage house, custodian, investment bank etc.) together with business project management experience.
  • Strong teamwork, organizational, complex problem resolution and initiative
  • Experience in undertaking AML / KYC reviews within a financial institution.
  • Working knowledge of AML, regulatory compliance and controls within the banking and financial services industry.
  • Excellent research and communication skills
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