Quality Assurance Manager, project QA lead

Employment summary.• AML KYC quality assurance analyst.• Managing team of 10 quality assurance reviewers• AML Procedure writing/production.• AML KYC staff training• AML project management April 2017 to May 2018 Ceri International Poland, AML Outsourcing project.AML Project Management • Split between two offices in Poland, Lodz and Bialystok staffing 90 analysts.The Ceri model supports refresh clients in London and BAU clients for 11 European Commerzbank branches and country level.• Outsourcing the analyst’s function 100% for all Low Medium and High risk clients from all desks covering all products.• Daily staff management of 8 SME / reviewers, London.• AML KYC staff training up to 90 staff on Commerzbank AML functions, training was conducted through classroom training and desk top support on site, supported by London Reviewers team.Ceri Reviewers, Approvers. staff training target date end of 2018• Stakeholder engagement and communication, Sales, AML staff and regional compliance functions.• MI weekly governance, client quality & performance review.

September 2016 to April 2017, September 2016 to February 2017 Lysis AML outsourcing project P/TAML Project Management, staff training• Lysis was brought in a body shop model with analysts to support the banks growing due diligence requirements.• Staff training of up to 40 analysts on the banks due diligence procedures and policies.Onsite training supplied for the first 6 weeks, following train the trainer method, classroom training and desk top support, my team of 8 SME’s supported on site at vendor’s offices.Setting up the following functions.• Daily weekly MI production• Stakeholder engagement and communication • Staff training and desk top support• Weekly governance meeting, client quality & performance review• Quality Assurance, 100% of all records.

June 2015 to February 2017 Thomson Reuters AML outsourcing project, London, PolandAML SME project management.• Project team of 3 staff mapping and writing AML due diligence processes for Agency Lending, Funds and Guarantors project in line with the banks due diligence function.Supporting daily production / stakeholder alignment meetings, development of target operating models in line with the due diligence expectations and functions of London.The project went on to support further functionally to include NBFI and financial institutions in other areas of the bank along with data document storage development.• Staff production of statistical analysis• Weekly, daily MI, client quality & performance review• AML procedure mapping and alignment• Product based KYC AML procedure writing• Stakeholder engagement and communication.• On and off site staff training on KYC AML procedures for up to 50 analysts

January 2014 to June 2015 Accenture AML Outsourcing projectLead QA reviewer and SME• 100% 4 and 6 eye checks on all clients reviewed by Accenture analysts.• Production of weekly MI, staff production and quality.• Support weekly stake holder meeting and governance.• Staff training and support for up to 30 KYC analysts across all due diligence levels and client coverage.

October 2013 to June 2015 SME / Reviewer for internal KYC remediation project.Lead QA reviewer and SME100% 4 eye checks on all cases all risks with a target first time pass rate of 97%Further quality assurance stress test on 10% of client population 6 eye check, Medium & High risk.

June 2006 to July 2013 BNP Paribas London October 2012 to July 2013 BNP Paribas Investment Partners, AML Project QA: Compliance Dept., MLRO team.AML/KYC project, client stress testing for the asset management division. Risk assessment for 250 clients, working around the group and domestic AML policies built around the JMLSG guidelines. Building a written process around the current policies to categorise client type and risk level against documentation required for remediation process.Key tasks involve • Providing AML advisory including clarification and advice on interpretation of AML relevant policies and procedures.• Perform quality assurance testing of records and processes• Ensure that the bank is in line with global sanctions policies and procedures• Point of escalation for High risk client reviews and CAC meetings.• PEP referral and negative news referral as per risk categorization • Screening tools used, Worldcheck, Sales Force, Bankers Almanac, Reuters, Factiva, Lexis Nexis, Mint / D&B business reports.

July 2009 until September 2012 (BNP Paribas CIB)(Client on boarding) Secondary Markets London Senior Administrator.Onboarding of client due diligence on behalf of the Paris secondary markets sales desk. AML Business line support for debt market desks, Primary and secondary markets.The role involves liaising with compliance and the agency team in Paris.Communication with all stakeholders, clients, sales, compliance.Collation and collection of due diligence documentation for debt and debt restructuring desks and commodities. Establishing a risk rating for each individual client, analyzing the corporate structures in line with the banks account opening procedures following current JMLSG and FSA requirements. Identifying material information and negative press and PEP hits within the client structure.Role of responsibilities included• Working with complex structures, funds and SPV’s, small and large corporates and Fi’s• Managing a team of 3 staff• Maintaining MI• Staff training.• Attending weekly stakeholder meetings with the business and MLRO team’s

Senior On-Boarding Administrator (BNP Paribas) November 2006 to June 2009 Senior Administrator CIB - corporate Investment Banking (Operations.November 2006 until July 2009.Working with a small due diligence team of 6, Client on boarding of new business trading through London. Collation and collection of due diligence documentation for Cash Management, equity and commodities and treasury business lines. Establishing a risk rating for each individual client, analysing the corporate structures in line with the banks account opening procedures following current JMLSG and FSA requirements. Identifying material information and negative press and PEP hits within the client structure, utilising online tools such as worldcheck, mint and D&B credit reports, this included identification of all significant shareholders with an interest of 25% or greater in any one structure.

July 2006 to November 2006 (Private Bank) (BNP Paribas) KYC analyst client remediation project