Anna S. Email & Phone Number

London, United Kingdom

London, United Kingdom

The role provides coverage for the Retail Banking and Wealth Management (RBWM), Commercial Banking (CMB), Global Banking (GB), Global Markets (GM), HSBC Securities Services (HSS), and Global Private Banking (GPB). Subject matter expert to the Lines of Business, Compliance, Region and Country teams with Sanctions escalations/queries.  Acting as a contact to the local FCC teams who will liaise with the relevant businesses to ensure compliance with regards to Sanctions imposed by the UK, European Union (EU), United Nations (UN), and USA, whilst ensuring compliance with the HSBC Group’s sanctions policy.  Providing advice, guidance and support to the AML local advisory teams of the relevant businesses on UN/EU/UK/US sanctions regimes and related policies, including advice regarding alerts produced by payment and client screening systems.  Delivering of Sanctions training to Compliance colleagues carrying out investigations into circumvention attempts made. Liaising with the business on the client KYC and risk issues. Providing advice to the European region.HSBC Plc, Interim Country Sanctions Officer, GPB Luxembourg- November 2016 to January 2017.

Bournemouth, United Kingdom

 Analysing client activity to identify the resubmission of previously blocked/returned transactions that have been altered to circumvent transaction screening, which is then reported to regulators. This will lead to a follow-up investigation with the client and ensuring further escalation. Partner with AML team for assessment of whether a SAR should be filed to law enforcement. All the investigations are to be reported to senior management within Compliance and the business. Being the lead for the KYC onboard/renewal process for CIB and PB business clients. This involves creating operating procedures, training the team, maintaining frequent contact with the KYC team/management to provide feedback and provide general oversight to make sure the reviews are tracked and handled in a timely manner.Performing the sanction reviews for the KYC onboard/renewals involves identifying, researching and analysing potential sanctions risk posed by new or existing clients and advising upon disposition of the record. Providing ad hoc sanctions advice and conducting investigations into the potential sanctions exposure as a result of referrals that emanate from escalated transactions, AML investigations, routine due diligence or information discovered in the public domain. Working with colleagues within EMEA and different regions to investigate potential breaches of OFAC and regional sanctions that may require voluntary self-disclosure. This requires initial investigation to verify the potential violation and collation of all relevant information. Conducting quality assurance into the decision-making rationale of transactions that have been escalated to Sanctions Compliance Escalation teams in EMEA locations to ensure adherence to regulatory requirements and internal policies and procedures. Production and analysis of the 10 day report to OFAC for EMEA blocked and rejected transactions.

Bournemouth, United Kingdom

Analysing production transactions that had been escalated to Compliance as suspect items against sanctions lists (HMT, EU and OFAC) to ensure that the firm does not maintain accounts or facilitate transactions involving sanctioned countries, parties or individuals. Ensuring a zero tolerance to sanctions breaches whilst meeting strict business cut-offs. Taking on additional responsibilities of producing a training document to ensure a more efficient and consistent approach within the EMEA team that has been distributed to other regions. Work to strict deadlines whilst prioritising a large workload. Good working knowledge of OFAC, EU and HMT sanctions, engagement with different areas of the CIB business.

Bournemouth, United Kingdom

Bournemouth, United Kingdom

Poole

Poole