Debbie Loader Email & Phone Number

Poole

Successfully ran the EMEA KYC Quality Assurance Team who conduct AML, KYC and risk reviews for new and existing clients in EMEA, APAC and US.Responsible for implementing process and procedure improvements; assisting with audit, compliance and self-testing reviews and overseeing the development of the team.Additionally involved in implementation of the EU 5 MLD

Bournemouth

Presently seeking new career opportunitiesI am a highly experienced, professionally qualified, and customer focused compliance professional with experience across compliance, financial crime and risk in international financial services. Provider of high quality advisory services, regulatory compliance; designing implementing and conducting compliance and risk assurance reviews and international AML and KYC standards. Highly motivated and organised with proven management and people skills, consistently achieving improvements to compliance and AML frameworks and the risk environment. Previously authorised by the FCA for compliance oversight and MLRO functions

Singapore

Advisor on customer due diligence process and cross border compliance. Responsibilities include reviewing the whole CDD assurance review process; conducting assurance review; acting in an advisory capacity; collating management reporting information amongst other compliance tasks. Working as a senior member of the Singapore private bank compliance team.

Singapore

Advisor on international project to implement the Volcker Rule enhanced compliance program bank wide. Reporting to the Head of Projects and Change Management, Legal and Compliance Products

Uae

Compliance Officer/ MLRO for a number of financial services firms in the DIFC (including asset and investment managers and private banks) - authorised individual by the DFSARisk officer for several DFSA authorised firms.Responsible for Management and Development of a team of compliance consultants ensuring consistency of service to our clients.Provide outsourced compliance services to firms within the DIFC; headed up a number of projects for private banks; included the on-boarding of clients upon merger / acquisition and review of all high risk clients CDD for regulatory reporting.Provide compliance and / AML advisory services, compliance and corporate governance training and independent AML/CTF / compliance framework reviews to other regulated entities.

Liaised with authoriteis in UAE to obtain the appropriate licenses and visas etc to establish a new Central Bank licensed representative office of the private bank.Provided a high quality compliance advisory service to all areas of the private bank in the UAE,London and Isle of Man.Approved by UK FSA as the compliance officer and MLRO of the London branch operation.

Effectively managed a risk and compliance team; responsible for the Isle of Man, London branch and South African representative office.Sucessfully implemented process for on-going monitoring and regular review of clients classified as 'high risk'.Approved by UK FSA as compliance officer and MLRO for the London branchActively scoped, planned, implemented and reporting on on-going compliance and risk assessment testing and monitoring programmes.Integral player on project which culminated in the obtaining of authorisation to operate a branch of the private bank in the UKImplemented investment advice sales process, documentation and practices; incorporating the assesment of suitability and appropriatenessScoped, planned, designed and implemented Risk Assessment Policy and process for new and existing clients. Produced high quality risk and compliance reports to senior management and the board.Introduction and successful implementation of a Fraud, Anti-Bribery and Corruption Policy and practices

Serviced to a high standard the banking needs, lending requirements and identified the investment needs of a portfolio of intermediaries (providers of company and trust administration services) and their corporate, individual and trust clients. Having responsibility for business development and risk management with new and exisitng intermediaries. Included providing business development and training presentations to the intermediaries and their staff. Role included assessign the individual intermediaries compliance procedures and practices; risk rating them and deciding whether to accept them as an 'approved introducer' to the bank and sanctioning the acceptance of new clients.