Azmat Chohan Email & Phone Number

London Area, United Kingdom

- Currently placed at an Investment Bank in Canary Wharf- Conducting on-going customer due diligence (KYC) on a portfolio of purely High Risk / Complex corporate structures- Assisting with UK AML policy uplift

London, England, United Kingdom

- Assisted MLRO with improving specificity of World Check screening hits by testing adjustment of the following fuzzy logic parameters: Sanctions, Regulatory Enforcement, Law Enforcement, PEP, Other Bodies, Special Interest Categories. End result was an 80% reduction of false matches- Working within Legal & Compliance division as an SME / Business Analyst in Corporate Banking - Identified Associated Parties within entire Bank population (low, medium, high risk clients) and conducted World Check screening (PEPs/SOEs, sanctions, adverse media) on identified parties (directors, senior managers, mid-tree entities/UBOs)- Conducted monthly QA checks on KYC (10% sample)- SME advice offered to QC/KYC Analysts regarding KYC gap analysis feedback

London, England, United Kingdom

• Working to complete a remediation project KYC portfolio of 70 US tech industry clients • Conducted Risk-Rating analysis for each client• Emailing and calling customers directly to communicate/obtain KYC (including EDD / High-Risk KYC requirements):• Producing Transaction Analysis reports on the last 12 months of account activity• Daily liaising with Financial Crime team to propose risk-based approach / exceptions to policy taking SVB’s risk tolerance into account

London, England, United Kingdom

• Conducted PEPs, Sanctions and Adverse Media, Money Laundering risk analysis checks; as well as transaction monitoring/analysis (using World Check and Google search string)• Assisted Grant Thornton LLP with KYC remediation (enhanced due diligence on high-risk, complex corporate structures - including Trusts), pilot testing of workflow tools; and process development at a top UK Investment Management Company

London, England, United Kingdom

• Worked to complete a remediation project KYC portfolio of 180 tech industry clients • Conducted PEPs, Sanctions and Adverse Media and Risk-Rating analysis for each client• Emailed and called customers directly to communicate/obtain KYC (including EDD / High-Risk KYC requirements): Share Registers, Structure Charts, Incorporation Documents, Foundation and Trust deeds, and Beneficial Owner/Director/Signatory ID & address verification documents• Producing Transaction Analysis reports on the last 12 months of account activity• Liaising with the Financial Crime Team to escalate true PEP & sanctions hits; and grant exceptions (e.g. risk based approach regarding certification of documents) during COVID-19 pandemic

London, England, United Kingdom

• Transaction Monitoring/Analysis using Equation• Remediating KYC files for Individuals, Businesses, Charities, Pension Schemes located in Europe.• KYC gap analysis conducted and files completed to EDD and CDD levels of due diligence (High and Medium-risk clients)

London, United Kingdom

• Corporate & Institutional Banking and Private Banking portfolios (Corporate clients, SPVs) in Europe, North America + MENA region• Conducting QC checks and providing feedback / action points for files compiled by Relationship Directors to EDD, CDD and LDD/SDD levels of due diligence• Checking client risk rating and signing-off appropriate classification (Highest, High, Standard/Medium and Low-risk). Providing MLRO with an overall KYC summary and risk assessment analysis for High-risk relationships.• Liaising with MLRO to assess / approve exceptions to policy in consideration of the bank's risk-appetite (risk based approach) • Performing AML/Terrorist Financing/PEP/Sanctions/Adverse Media screening using World Check, Safe Watch, compliance-specific Google searches.• Compiling in-depth due diligence files and risk assessments for material PEP relationships

London, United Kingdom

- KYC gap analysis and remediation of Global Corporate Banking client portfolio- 40% duties spent as QC Analyst- Progressing/checking SDD/LDD, CDD and EDD KYC cases - applying a risk based approach where appropriate- Assessing/checking client risk rating and applying appropriate classification - Sanctions, Terrorist Financing, PEPs screening and discounting using Dow Jones- Adverse media screening and discounting using Factiva- Other tools used include Experian and Dunn & Bradstreet

London, United Kingdom

- Animated marketing video production for SMEs- Managed a team of virtual employees: animators, script writers and voice-over artists.

London, United Kingdom

• FCA remediation project team member ensuring KYC for UK counterparty portfolio is compliant to UK AML Standards.• Key player in the production of an AML policy document – the first of its kind at the company• Conducted quality assurance control (QA) checks on high-risk files/cases completed by KYC analysts. • Progressed Standard, Simplified and Enhanced Due Diligence for counterparty accounts.• Obtaining customer confirmations/documentation after directly liaising with counterparty contacts: Share Registers, Incorporation Documents, Foundation and Trust deeds, and Beneficial Owner/Director/Signatory ID and address verification documents.• Screening customer-related adverse press (Factiva, Google) and SDN lists (including World Check, Factiva, OFAC) to identify sanctions breaches and AML risk threats to the Bank.• Assessing client risk ratings to confirm or amend appropriate application. • Completing Due Diligence on PEP relationships• Provided KYC training and continued to mentor graduates and new starters on the project• Excellent knowledge of compliance-related software/tools: Factiva, Equifax, Companies House, World Check, MK Denial

London, United Kingdom

• Ensuring OKYC for Global Corporate portfolio is compliant to AML Standards.• Obtained customer confirmations/documentation for complex company structures including Share Registers, Incorporation Documents, Nominee declarations, Foundation and Trust deeds, Bearer Share declarations and Beneficial Owner/Director/Signatory ID and address verification documents.• Progressed Standard, Simplified and Enhanced Due Diligence for customer accounts.• Liaising with Relationship Managers to communicate KYC requirements to customers.• Provided KYC training to a new joiner on the project.

London, United Kingdom

• Working within the Financial Crime Unit team to deliver risk advice to RBS Shipping Business Centre.• Utilising knowledge of AML, FCA and JMLSG Regulations and Guidelines in conjunction with RBS Group Policy to perform Due Diligence on high-risk RBS Shipping customers to identify potential AML/reputational risk to the Bank.• Quality checking updated KYC and KYB information during periodic reviews and trigger events (e.g. when change in UBO, directors, corporate structure occurred).• Assessing client risk ratings to confirm or amend appropriate application. • Screening customer-related adverse press and SDN lists (including World Check, Factiva, OFAC) to identify sanctions breaches and AML risk threats to the Bank.• Providing the Bank with advice regarding continuation of customer relationships in consideration of Banking policies and a risk-based approach. • Suggesting and advising on mitigation and controls for risk-based approach proposals.• 2 month secondment to PEP Middle Office to complete PEP investigations (periodic reviews within Corporate and Institutional Banking)• 3 week secondment to PEP/Sanctions Discounting Team within Corporate and Institutional Banking

London, United Kingdom

• Worked within KYC/AML Analyst team to successfully complete a Remediation project for all high-risk RBS Shipping customer files.• Performed KYC due diligence on an extensive high-risk, global portfolio to ensure customer files became compliant to both internal and external policies and legislations.• Obtained customer documentation for complex company structures including Share Registers, Incorporation Documents, Nominee declarations, Foundation and Trust deeds, Bearer Share declarations, Circular Shareholding declarations and Beneficial Owner/Director/Signatory ID and address verification documents.• Progressed both Simplified and Enhanced Due Diligence for customer accounts.• Contacted customers via telephone/email to communicate KYC requirements for compliance.• Reported weekly progress and other management information in the form of Excel and PowerPoint presentations for use in business analysis and planning.• Provided KYC training to new joiners on the project.• Completed Know Your Business (KYB) forms to policy standards.• Completed Due Diligence on PEP Banking relationships.

Master Of Science (M.Sc.), Pharmaceutical Sciences

Education record