Daniel Williams Email & Phone Number

United Arab Emirates

London, England, United Kingdom

Providing strategic advice on AML/CTF regulations conducting Enhanced Due Diligence (EDD) on high-risk clients such Trade Finance and RealEstate and managed Know Your Customer (KYC) processes and Transaction Monitoring, ensuring compliance with FATF standards and local AMLregulations. for clients in the MENA, GCC & UK markets in line with FATF, FCA, DIFC & DFSA.Implementing compliance Policy strategy to enhance the bank's AML, Fraud, and Sanctions compliance program, ensuring structured governance.Implementing comprehensive sanctions compliance frameworks, ensuring the organization adhered to global sanctions regimes (e.g., OFAC, UN,EU).Proactively logging, investigating, and performing trend analysis for suspicious activities (SARs), enhancing the bank's fraud detection andprevention strategies.Collaborating with the legal team to obtain approvals and licenses from regulators.Conducting comprehensive risk assessments to evaluate a range of compliance risks, including regulatory, operational, and reputational risks, byanalyzing geopolitical and economic factors. Developed mitigation strategies for operations in the MENA & GCC markets, ensuring adherence tolocal and international regulatory requirements such as anti-bribery laws and sanctions compliance.Conducting internal compliance testing and monitoring in line with internal audit, identifying improvement areas, and implementing correctiveactions to bolster the organization's compliance posture.Drafting and updating policy to meet evolving regulatory requirements. For example, enhancing the bank's AML, Fraud, and Sanctions compliancepolicies.Developing Management Information reports for monitoring high-risk clients and daily referrals, improving senior management oversight.Conducting User Acceptance Testing (UAT) for the bank's new Data Management and KYC system, ensuring its successful implementation andcurrent operational usage.

London, England, United Kingdom

Provided strategic advice to clients on local and international regulations, including AML, GDPR, UK Bribery Act, and sanctions compliance, tailored to Private Banking, Investment Banking, Consumer Banking, and technology sectors in the UK, UAE, France, and Norway.Conducted risk assessments, identifying vulnerabilities and performing gap analyses to ensure regulatory alignment, with detailed reports recommending corrective actions for regulatory, operational, and reputational risks.Developed, updated, and implemented policies for AML, data privacy, and anti-bribery controls, ensuring clients' governance frameworks complied with evolving regulatory requirements.Conducted internal compliance audits to assess adherence to regulations, enhancing AML strategies by revamping KYC policies for an Investment Bank.Delivered compliance training programs, including in-person workshops, improving staff awareness of AML, sanctions, fraud detection, data privacy, and anti-corruption.Designed and implemented comprehensive compliance programs, including governance frameworks and policy manuals, working with stakeholders to foster a culture of compliance.Supported clients in regulatory investigations and enforcement actions, such as section 166 reviews, assisting in documentation gathering, internal reviews, and regulator responses.Developed remediation plans to address compliance failures, strengthening internal controls.Seconded as project manager, coordinating with client teams and external stakeholders to deliver compliance initiatives, managing timelines and resources to meet regulatory deadlines.Conducted risk assessments and adjudicated compliance cases for a US-based client, mitigating financial and operational risks.Enhanced firm's market position by creating pitch decks and securing {3} new clients.

London, United Kingdom

Conducted thorough Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) for high-risk clients across multiple asset classes,including derivative products, trade finance, and correspondent banking, ensuring compliance with AML regulations and internal policies.Analyzed complex customer profiles, transaction histories, and ownership structures to assess risks related to money laundering, sanctionsexposure, and financial crime.Analyzed complex customer profiles, transaction histories, and ownership structures to assess risks related to money laundering, sanctionsexposure, and financial crime.Collaborated with legal and compliance teams to investigate and escalate suspicious activities, filing Suspicious Activity Reports (SARs) asrequired.Served as internal point of contact for {50+} high-risk matters, ensuring effective communication and escalation to regional compliance.Played a pivotal role in internal systems reviews, contributing to the creation of a tailored internal CDD system, enhancing efficiency.Ensured compliance and data integrity of client data by conducting client due diligence.Contributed significantly to the design and execution of Financial Crime Framework processes for the Global FI Hub.

London, United Kingdom

Assisted with Client Due Diligence (CDD) and Know Your Customer (KYC) processes for new and existing clients, ensuring compliance with Anti-Money Laundering (AML) regulations and firm policies.Reviewed and verified client documentation, including identification, beneficial ownership, and source of funds, for low and medium-risk clients,escalating high-risk cases for further review.Supported the compliance team in conducting risk assessments by gathering relevant client data and documentation, helping identify potentialrisks in financial transactions or client engagements.Monitored client transactions for potential red flags, such as suspicious payment activity or sanctions violations, and reported findings to seniorcompliance analysts for further investigation.Maintained accurate records and compliance logs, ensuring that all CDD and KYC files were up-to-date and accessible for regulatory audits andinternal reviews.Conducted preliminary conflict of interest checks on new client matters, identifying potential conflicts and reporting findings to seniorcompliance staff for resolution.Assisted with compliance training for the firm by preparing training materials and helping organize sessions on firm policies, AML.

London, United Kingdom

Assisted with Client Due Diligence (CDD) and Know Your Customer (KYC) processes for new and existing clients, ensuring compliance with Anti-Money Laundering (AML) regulations and firm policies.Reviewed and verified client documentation, including identification, beneficial ownership, and source of funds, for low and medium-risk clients,escalating high-risk cases for further review.Monitored client transactions for potential red flags, such as suspicious payment activity or sanctions violations, and reported findings to seniorcompliance analysts for further investigation.Maintained accurate records and compliance logs, ensuring that all CDD and KYC files were up-to-date and accessible for regulatory audits andinternal reviews.Conducted preliminary conflict of interest checks on new client matters, identifying potential conflicts and reporting findings to seniorcompliance staff for resolution.

London, United Kingdom

Conducted initial Know Your Customer (KYC) checks for onboarding new clients, ensuring compliance with AML regulations and internal KYCpolicies.Reviewed and verified client documentation, including identification, proof of address, and corporate structures for low to high-risk clients.Supported Enhanced Due Diligence (EDD) processes for high-risk clients, escalating potential risks related to sanctions, politically exposedpersons (PEPs), or adverse media.Maintained accurate and up-to-date KYC records, ensuring documentation was readily available for internal audits and regulatory reviews.Collaborated with compliance and legal teams to ensure all client profiles met regulatory and risk management standards.

Diploma, Anti Money Laundering

Bachelor Of Laws (Ll.B.), Law

2:1 in Law