Emily Harris Email & Phone Number

United Kingdom

United Kingdom

London, England, United Kingdom

London Area, United Kingdom

Oversight and build out of compliance function as Head of Compliance/MLRORisk Assessments – Risk/AML/ABC/Tax EvasionPolicies/proceduresCore product input and compliance signoffCompliance technology integrationsEmployee training – content and deliveryOversight of all licencing projects - UK + NL EMI LicencesRegulatory/Public PolicyManagement of compliance teamBoard/Executive Team responsibilities Investor DD

London, England, United Kingdom

2LOD Position - Transaction Monitoring Programme Review, SARs for Amazon Payments UK

London, United Kingdom

2LOD PositionUpdating and maintaining the firm’s financial crime policies and procedures in accordance with legal requirements in the UK and internationallySign off on escalated high risk transactions, policy queries Periodic and regular updates to the Group’s AML assessments in line with regulatory and typology developments (country risk, product risk, channel risk)Drafting of Annual MLRO ReportDeputising for the Money Laundering Reporting Officer in their absence… Show more 2LOD PositionUpdating and maintaining the firm’s financial crime policies and procedures in accordance with legal requirements in the UK and internationallySign off on escalated high risk transactions, policy queries Periodic and regular updates to the Group’s AML assessments in line with regulatory and typology developments (country risk, product risk, channel risk)Drafting of Annual MLRO ReportDeputising for the Money Laundering Reporting Officer in their absence Reviewing and investigating suspicious activity reports as nominated officer Submission of EMI FCA reports as required under PSD2Management of banking/supplier relationship from compliance perspectiveOversight of Request for Information process (DPA requests, banking partners)Acting as the Group representative for the Electronic Money Association and Fintech Financial Crime Exchange, public sector consultations Show less

London, United Kingdom

2LOD PositionKYC policy development ~ Interpreting legislation and guidance (including 2017 Money Laundering Regulations, JMLSG, ICAEW and Law Society AML guidance as well as FATF, World Bank and Wolfsberg) to develop whole firm CDD policies and proceduresSignoff of customers outside of standard policy, including full analysis and justification for decision making ~ Includes complex customer types such as PE funds, sovereign wealth funds and trustsSuspicious Activity… Show more 2LOD PositionKYC policy development ~ Interpreting legislation and guidance (including 2017 Money Laundering Regulations, JMLSG, ICAEW and Law Society AML guidance as well as FATF, World Bank and Wolfsberg) to develop whole firm CDD policies and proceduresSignoff of customers outside of standard policy, including full analysis and justification for decision making ~ Includes complex customer types such as PE funds, sovereign wealth funds and trustsSuspicious Activity Reporting ~ Conducting investigations into complex money laundering activity encountered through the firm’s professional services, including evaluating whether consent is required or matter is legally privileged and making recommendations to the firm’s MLRO (CF10/11 office holder) With onwards reporting to the National Crime AgencyTraining ~ Development of content for AML annual, refresher and ad hoc training, both computer-based and face-to-faceNew Products ~ Evaluating AML regulatory exposure for new technology developments, including apps and digital solutionsDrafting of annual AML board report, including compilation of relevant MIPreparation for regulatory visits and attendance of meetingsOversight of horizon scanning and attendance at industry events for external AML developmentsManagement of junior staff members Show less

Wellington & Wairarapa, New Zealand

I worked in a dual role, coordinating The Co-operative Bank's fraud response and managing the legal compliance attestation and review process. I also acted as the organisation's AML/CFT subject matter expert and conducted on-going policy and procedure process improvement in this area.Expertise:Fraud management - Liaising with various stakeholders in the organisation, including front line staff, bank services and credit to respond to and investigate fraud and mitigate associated… Show more I worked in a dual role, coordinating The Co-operative Bank's fraud response and managing the legal compliance attestation and review process. I also acted as the organisation's AML/CFT subject matter expert and conducted on-going policy and procedure process improvement in this area.Expertise:Fraud management - Liaising with various stakeholders in the organisation, including front line staff, bank services and credit to respond to and investigate fraud and mitigate associated risks. I also regularly participated in industry forums related to fraud.Transaction monitoring and on-going customer due diligence, STR reporting - Conducting account/transaction reviews based upon automated system triggers and reports from front line and other company staff members in order to comply with AML/CFT Act requirements. I also was the liaison with the NZ Police and responded to official requests for information.Legal Compliance - I worked with senior management to complete regular legal compliance attestations and provide advice on regulatory interpretation. Show less

Wellington, New Zealand

I worked on The Co-operative Bank's Anti-Money Laundering and Countering Financing of Terrorism implementation project. In this position I administered and oversaw changes in policies and procedures relating to AML/CFT and provided guidance to staff in interpreting legal requirements. Expertise:Development of Customer Due Diligence/KYC processes and procedures - conducting account /identification reviews, carrying out risk assessments on high-risk customers, including PEPs, SIPs… Show more I worked on The Co-operative Bank's Anti-Money Laundering and Countering Financing of Terrorism implementation project. In this position I administered and oversaw changes in policies and procedures relating to AML/CFT and provided guidance to staff in interpreting legal requirements. Expertise:Development of Customer Due Diligence/KYC processes and procedures - conducting account /identification reviews, carrying out risk assessments on high-risk customers, including PEPs, SIPs and customers from FATF high risk jurisdictionsAML/CFT training development - writing general online training modules for front line staff and leading escalation/exception training for back office operations staffRegulatory review and identification of emerging issues, business implementation recommendations, participation in AML/CFT industry forums Show less

Greater New York City Area

I coordinated the work of the Office of General Counsel and five attorneys on the legal business side of PPFA, My work included the administration of the contract review process, assisting with the auditing and review of trademark registrations, legal and factual research, document review and responding to requests for information.

Auckland, New Zealand

I was a Deputy Registrar in the Auckland Family Court, assisting with its effective day-to-day functioning.This work encompassed scheduling hearings, auditing files, liaising with parties, statutory legal analysis, critical decision making and caseflow management. I also progressed to making appointments of court-appointed lawyers per Judicial recommendation and case file analysis. I worked directly with government agencies such as Child, Youth and Family and the NZ Police in adhering to… Show more I was a Deputy Registrar in the Auckland Family Court, assisting with its effective day-to-day functioning.This work encompassed scheduling hearings, auditing files, liaising with parties, statutory legal analysis, critical decision making and caseflow management. I also progressed to making appointments of court-appointed lawyers per Judicial recommendation and case file analysis. I worked directly with government agencies such as Child, Youth and Family and the NZ Police in adhering to statutory requirements. Show less

Auckland, New Zealand

After graduating from university I was awarded the Fiona Leeves Memorial Internship, which encompassed a three month paid contract working at Hestia Women's Refuge in Auckland. In this position I assisted with core refuge work - interviewing clients, collective administration and government and non-government agency referrals. I learned effective communication with people in emotionally charged situations and worked on community policy initiatives with senior staff. I was also responsible for… Show more After graduating from university I was awarded the Fiona Leeves Memorial Internship, which encompassed a three month paid contract working at Hestia Women's Refuge in Auckland. In this position I assisted with core refuge work - interviewing clients, collective administration and government and non-government agency referrals. I learned effective communication with people in emotionally charged situations and worked on community policy initiatives with senior staff. I was also responsible for the design and implementation of www.hestiawomensrefuge.co.nz which established the agency's online presence.During my time I attended courses on dealing with people with mental health issues for front line staff and a workshop on recognising and responding to methamphetamine abuse, which was run by Child, Youth and Family. Show less

Bachelor Of Laws (Llb)

Bachelor Of Arts (Ba), Philosophy, Sociology

Certificate, Legal Professional Training

Education record