• Preparing Bank applications and responding to further due diligence request and requirements.• Fixing and setting up permissions on trading software.• Develop the Compliance Framework of Policies, Procedures, Systems and Controls ensuring these remain in-line with regulatory requirements, risk appetite and operationally effective• Completing the firm’s risk assessment.• Overseeing training, transaction monitoring, periodic reviews, governance and briefing senior… Show more • Preparing Bank applications and responding to further due diligence request and requirements.• Fixing and setting up permissions on trading software.• Develop the Compliance Framework of Policies, Procedures, Systems and Controls ensuring these remain in-line with regulatory requirements, risk appetite and operationally effective• Completing the firm’s risk assessment.• Overseeing training, transaction monitoring, periodic reviews, governance and briefing senior management.• Defining the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization.• Developing the quarterly and annual compliance work plan that reflects the organization's uniquecharacteristics.• Periodically revising the compliance plan in light of changes.• Overseeing and monitoring the implementation of the compliance program.• Providing strategic direction to the management team on compliance.• Preparing and presenting clear and concise compliance reports to the Board.• Developing policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation.• Coordinating internal compliance review and monitoring activities, including periodic reviews ofdepartments.• Independently investigating and acting on matters related to compliance.• Working with the tech team to ensure rules and controls are in place to curb and manage the risk of fraud on our platform. Show less

 Advising financial services clients on KYB/KYC regulatory requirements. Assisting in completing SPI, API and EMI authorisation/licence applications to the FCA. Advising on complex requirements by the regulators. Developing and conducting training for staff members on AML and regulatory requirements. Analysing regulatory compliance requirements and recommending appropriate solutions for sanctions screening. Preparing financial services firms for external… Show more  Advising financial services clients on KYB/KYC regulatory requirements. Assisting in completing SPI, API and EMI authorisation/licence applications to the FCA. Advising on complex requirements by the regulators. Developing and conducting training for staff members on AML and regulatory requirements. Analysing regulatory compliance requirements and recommending appropriate solutions for sanctions screening. Preparing financial services firms for external audits. Designing and developing tools required for risk management Designing compliance policies and procedures, implementing new regulations and statutes, and providing necessary training to relevant members of staff. Liaising with the financial regulators on behalf of clients. Show less

• Conducted enhance due diligence review on applications from entities such as HNWIs, charities, trusts, foundations, LLPs, LLC, pooled investments (Hedge funds and SPVs) complex ownership structures and offshore entities in jurisdictions such as Cayman Islands, Jersey, BVI and Guernsey.• Performed Sanctions screening and PEPs identification. Reviewed potential negative news hits across Client Management divisions• Conducted Open-source searches and screening on applicants in support of… Show more • Conducted enhance due diligence review on applications from entities such as HNWIs, charities, trusts, foundations, LLPs, LLC, pooled investments (Hedge funds and SPVs) complex ownership structures and offshore entities in jurisdictions such as Cayman Islands, Jersey, BVI and Guernsey.• Performed Sanctions screening and PEPs identification. Reviewed potential negative news hits across Client Management divisions• Conducted Open-source searches and screening on applicants in support of the daily complex investigations using systems Accuity, LexisNexis, CRM, Salesforce, Lexis Diligence, CLEAR, Refinitiv and client bespoke systems• Liaising with stakeholders, account, and relationship managers to ensure all relevant KYB and KYC information are obtained especially for HNWIs.• Undertaking quality control/assurance checks (QC/QA) for reviews performed by KYC analysts.• Developed and conducted training for team members on common QC/QA fails and for analysts transferred from different workstreams.• Reviewed alerts generated by transaction monitoring systems and provided second-tier approval for investigative escalation of cases meriting further review. • Escalated high-risk negative information in accordance with established AML policies and standards. Show less

• Monitoring and assessing quality of wholesale customers’ KYC documentation and raising any concerns to the Compliance Supervisor • Assisting in the compilation, investigation and maintenance of sanctions and internal watch lists.• Dealing with enquiries from the wholesale customers.• Undertaking CDD/EDD checks as part of the onboarding process and requirements for new and existing wholesale clients.• Reviewing internal STRs and reporting to the relevant… Show more • Monitoring and assessing quality of wholesale customers’ KYC documentation and raising any concerns to the Compliance Supervisor • Assisting in the compilation, investigation and maintenance of sanctions and internal watch lists.• Dealing with enquiries from the wholesale customers.• Undertaking CDD/EDD checks as part of the onboarding process and requirements for new and existing wholesale clients.• Reviewing internal STRs and reporting to the relevant authorities.• Processing return of counterfeit currency notes to the appropriate authorities. • Periodic transaction analysis and monitoring. Investigating and identifying suspicious transactions via link analysis.• Visiting new and existing wholesale customers for compliance audits.• Assisting in drafting and reviewing internal AML and compliance policies in accordance with HMRC and FCA regulations• Preparing regular reports and statistics for the Head of Compliance.• Informing and advising organisation (controller/Processor) and its employees of their data protection obligations under the GDPR• Conducting GDPR awareness training for senior management and all staff involved in processing operations and related audits• Conducting gap analysis of existing security practices as a procedural step towards been GDPR compliant• Carrying out or interpreting internal audits against compliance requirements• Conducting gap analysis of existing security practices as a procedural step to GDPR compliant•Advising on and carrying out DPIAs/PIA, Risk analysis, their implementation and outcomes•Setting up and monitoring organisation’s GDPR privacy compliance framework•planning, reporting, risks/issues management, training, on-boarding, timely change request escalation and governance implementation Show less

• Conducting money laundering risk assessment for the business• Training staffs in preventing money laundering• Receiving and considering reports of declined and suspicious transactions from staffs• Reporting any suspicious activity or transaction to the National Crime Agency (NCA)• Putting in place and operating anti money laundering controls and procedures• Retail customers transaction monitoring and analysis to detect unusual trends• Fixing and setting up permissions… Show more • Conducting money laundering risk assessment for the business• Training staffs in preventing money laundering• Receiving and considering reports of declined and suspicious transactions from staffs• Reporting any suspicious activity or transaction to the National Crime Agency (NCA)• Putting in place and operating anti money laundering controls and procedures• Retail customers transaction monitoring and analysis to detect unusual trends• Fixing and setting up permissions on trading software• Dealing with complaint from retail customers• Monthly and annual yearly reporting to the Directors Show less

• Investigated, assessed and resolved consumer complaints and disputes fairly in accordance with the established processes, rules and guidance set out by the Financial Conduct Authority/Financial Ombudsman Services.• Managed daily case allocation, consistently achieved targets as a part of team and ensured high quality standards are maintained. Assessed complex documents and carried out an extensive and detailed investigation while showing a clear audit trail. • Engaged in data… Show more • Investigated, assessed and resolved consumer complaints and disputes fairly in accordance with the established processes, rules and guidance set out by the Financial Conduct Authority/Financial Ombudsman Services.• Managed daily case allocation, consistently achieved targets as a part of team and ensured high quality standards are maintained. Assessed complex documents and carried out an extensive and detailed investigation while showing a clear audit trail. • Engaged in data gathering, analyzing and processing prior to investigating complaints, using internal systems on individual cases. • Re-reviewed customer complaints received from the Financial Ombudsman Service and dealt with redress and remediation cases.• Written and verbal communication with consumers via formal letter writing and telephone conversations respectively.• Undertook training in Complaint Handling, Anti-Bribery, Anti-Money Laundering, Risk Management, Financial Crime Prevention, Compliance and Data Protection Show less

• Attending to clients and ensuring detailed information are updated on their files. • Management of the practice and motivation of the team in dealing with the volumes of work while maintaining productivity and standard levels within deadlines.• Consulted with firm partners in seeking ways to improving both productivity and standard• Management of current and old casework to avoid backlog. • Liaise with various Government Agencies like the Home Office, the Police and Prison… Show more • Attending to clients and ensuring detailed information are updated on their files. • Management of the practice and motivation of the team in dealing with the volumes of work while maintaining productivity and standard levels within deadlines.• Consulted with firm partners in seeking ways to improving both productivity and standard• Management of current and old casework to avoid backlog. • Liaise with various Government Agencies like the Home Office, the Police and Prison Authorities for detained clients. • Research and application of caselaw in immigration applications and appeals. • Collating and analysing client databases for external and internal audit purposes• Document compliance to meet the endpoint requirements before forwarding to the Home Office• Dealt with civil litigation cases such as housing, business disputes, complaints (PPI, account charges, etc) against financial institutions, employment and family issues.• Arranged training and supervision of work experience students and new staffs in the firm Show less

• Trained to deal with paralegal duties in criminal and immigration law. I was part of the team which dealt with cases involving money laundering, fraud and financial crime. • Assisted in the production of relevant disclosure for cases at different stages of court procedure• Completed the initial investigations of all clients, in accordance to the business' KYC policies and procedures.• Liaised with the client and senior partners of the firm in the event of complications in… Show more • Trained to deal with paralegal duties in criminal and immigration law. I was part of the team which dealt with cases involving money laundering, fraud and financial crime. • Assisted in the production of relevant disclosure for cases at different stages of court procedure• Completed the initial investigations of all clients, in accordance to the business' KYC policies and procedures.• Liaised with the client and senior partners of the firm in the event of complications in retrieving documentation from publically available sources.• Conducting AML and KYC screening on clients prior to the firm’s representation, while monitoring any PEFP (Politically Exposed Foreign Person) and/or adverse news exposure.• Updated clients’ file and liaised with various Government offices like the Home Office, the Police and Prison Authorities. • Responsible for managing the diary of the firm. Show less