Catherine E. Email & Phone Number

London, England, United Kingdom

• Built a team responsible for overseeing efficient and effective systems and controls relating to financial crime, centralising first line activities from offices around EMEA e.g., AML, fraud, sanctions, terrorist.
• Supervised the team in developing Client Risk Assessment (CRA) systems/tools to quickly detect and prevent all types of financial crime through the customer lifecycle, identifying operational requirements and working.
• Worked closely with regional Money Laundering Reporting Officer’s (MLROs) inputting into financial crime returns, business-wide annual risk assessments and MLRO reports, provided supporting metrics used to measure and.
• Developed strategic relationships with platform owners for outsourced financial crime activities, participated in TPAs change and risk forums, reviewed current and emerging laws and regulations and oversaw how the TPA.
• Led the Team in continuous improvement initiatives e.g., strengthened Non-Retail PEP and sanctions screening capabilities by moving to new provider with resources for automatically screening against negative media.

• Built a new Technical Team within Invesco’s Contact Centre of Technical Specialists and Analysts, who contributed to the achievement of client services’ strategic objectives through facilitating improvement.
• Devised and implemented team KPIs/ dashboards to assist team managers in coaching and performance management, identifying knowledge gaps and training requirements.
• Implemented the use of MI, root cause analysis and feedback to identify opportunities to drive business change, improving the client and Executives experience. Including supervising the design and implementation of a.
• Strengthened breach reporting capabilities by aligning internal breach categorisation with service providers standards, challenging the status quo internally around rule definitions, enabling Invesco’s Compliance Team.

• Built a team of Oversight Officers who provided first-line monitoring activities of Invesco’s outsourced Transfer Agency activities in the UK.
• During an assessment of economic crime risk and compliance obligations around management of AML/CTF and sanctions in Non-Retail business areas, key issues were pinpointed with distribution teams’ application of PEP and.
• Participated in annual audits and regular compliance monitoring reviews, capturing output actions for tracking and enforcing; acting on recommendations to mitigate risk and providing metrics to measure and monitor.
• Represented Fund Services on several internal control groups, e.g. The Information Security Working Group providing clear direction, support and consideration to the management of security initiatives and information.
• Supervised transition of Invesco’s politically exposed person (PEP) & sanction screening from one automated platform to another, implementing automated screening for Invesco’s institutional clients.

• Managed a team of Administrators who provided PEP and Sanction screening and fraud controls. Also undertook oversight of Invesco’s outsourced Transfer Agency activities.
• Assessing economic crime risks following regulatory change, identified improvements to processes to mitigate AML/CTF and sanctions risks by automating PEP, sanction screening and fraud controls for Invesco retail.
• Oversaw the assessment of economic crime risk and compliance obligations of three outsourced providers, reviewing their plans to address risks and implement new regulatory requirements from the third Anti-money.
• Managed numerous product related projects in partnership with three service providers, e.g., played a key role in the project to convert all in-house Invesco Investment Trust clients onto a new system and in-source the.
• Acted as Global Internal Communications Workstream Lead for a large outsourcing project, collaborated with all areas of the business impacted in relation to communications for the project, facilitated regular global.

Investment Administration Qualification

Higher National Certificate Business (Hnc), Business Administration And Management, General

City & Guilds Advanced Diploma In It Applications, Information Technology

Nebs Introductory Certificate In Management, Level 3