Oversee both the technology and operational teams.

Tasked to project lead the replacement of our current transaction monitoring system. This was breaking new grounds from rules based to patented algorithms to detect anomalies with large datasets. Coordinated between pillar/function heads, modelling teams and developers.

Financial Crime Compliance Governance – Formal member of the following: APAC FCC Compliance Committee, TMS Working Group, Global Sanctions list Committee, Global FCC Technology Board, GCOP WG (global strategic systems), MAS (Singapore regulator) Action Group, Issues Management Review & Challenge, CoE Board. AML/Sanctions/ABC/CoE Technology Advisory – A wide range of responsibilities undertaken from project managing global/regional technology roll-outs, resolving audit & regulatory… Show more Financial Crime Compliance Governance – Formal member of the following: APAC FCC Compliance Committee, TMS Working Group, Global Sanctions list Committee, Global FCC Technology Board, GCOP WG (global strategic systems), MAS (Singapore regulator) Action Group, Issues Management Review & Challenge, CoE Board. AML/Sanctions/ABC/CoE Technology Advisory – A wide range of responsibilities undertaken from project managing global/regional technology roll-outs, resolving audit & regulatory issues, building the technology framework to ensuring centralisation in low cost areas are a success. Tuning & Optimisation lead – On an annual and ad hoc basis ensure TMS, TFS and entity screening systems are optimised. AML Analytics is used for fuzzy logic and Alteryx/Python for segmentation and ABTL testing Change Management lead – All changes and upgrades to financial crime systems must seek my approval before the project is either initiated and(or) the code is deployed. UAT Coordination lead – In the midst of building out a UAT team in our low cost centre in India Core Compliance Data Analytics – Presented to management a couple of proof of concept reports with pattern analysis and insights. This was highly received and spring boarded a department wide analytics program. Robotics Process Automation – Completed bots for Control Room, Surveillance and Training. Now completing solutions APAC wide, so RoI is significant. Artificial Intelligence – Working with the Grab lab on analysing stresses on trees for conflicts of interest and MNPI, illustrating via a heat map, additionally what would be the optimal seating plan for front line staff. Surveillance (email/audio communications) – Optimising the alerts, which means building relationships with risk words, themes and historical judgments.  Core Compliance Enhancement Project – Global lead on systems strategy. Prepared a paper on tactical and strategic systems for Compliance offices globally across all functions. Show less

Build out a Compliance function that standardises OFAC, DFS, OCC requisites across all FCC processes.Team AML and Sanctions - Advisory on current regulation, legislation, best practice and group standards.  Risk Assessments – Coordinate and compile EMEAs risk assessment with action plans for ‘path to green’. Present to management on the regional risks Systems Testing – Ensure data integrity as it hops from upstream to FCC systems Training – Prepare and conduct… Show more Build out a Compliance function that standardises OFAC, DFS, OCC requisites across all FCC processes.Team AML and Sanctions - Advisory on current regulation, legislation, best practice and group standards.  Risk Assessments – Coordinate and compile EMEAs risk assessment with action plans for ‘path to green’. Present to management on the regional risks Systems Testing – Ensure data integrity as it hops from upstream to FCC systems Training – Prepare and conduct classroom led training on current risks and trends Liaison to Kroll (Appointed Consultant for the Department of Financial Services, NY)  Headed the preparation for London Compliance on all OFAC touch points across Sanctions and AML departments Show less

Cross border sharing and learning of effective controls between New York and London.Departments rotated in to the America’s Compliance:- Sanctions – Review evidences for risk mitigation on all payment messages with OFAC implications  Chief of Staff – Collate management information and advise on streamlining, additionally conduct project work involving the KYC system roll – out to offices in North and South America Risk Assessments – Write narratives for all medium to high… Show more Cross border sharing and learning of effective controls between New York and London.Departments rotated in to the America’s Compliance:- Sanctions – Review evidences for risk mitigation on all payment messages with OFAC implications  Chief of Staff – Collate management information and advise on streamlining, additionally conduct project work involving the KYC system roll – out to offices in North and South America Risk Assessments – Write narratives for all medium to high risk elements for both inherent and control risks across all parts of the business. I was highly praised for putting together a detailed piece as it was used to present to the DFS’s consultant. Testing & Monitoring – Successfully tested that all SWIFT messages are screened in our filters and no data elements are lost Trade Surveillance – Assisting with building a framework Show less

Manage all payment and business risks related to Sanctions imposed by HMT, EU, Japan and OFAC. Cross border /domestic messages – Review evidences for risk mitigation on all payment messages that has alerted on regulatory and intelligence lists. New transactions – Review new products, pipeline business, bilateral/syndicated loans for nexus with sanctions Trade Finance – Put together a comprehensive checklist that is still being used globally. Evidence documentation on BoL, L/Cs… Show more Manage all payment and business risks related to Sanctions imposed by HMT, EU, Japan and OFAC. Cross border /domestic messages – Review evidences for risk mitigation on all payment messages that has alerted on regulatory and intelligence lists. New transactions – Review new products, pipeline business, bilateral/syndicated loans for nexus with sanctions Trade Finance – Put together a comprehensive checklist that is still being used globally. Evidence documentation on BoL, L/Cs, L/Gs, track shipping and its transshipment, changes in flags and ownership. Used various sources to create a red flag inventory and jointly with the business presented to the front line the AML and Sanctions risks and how they might be susceptible. List Management – Complete governance on adding, amending and deleting entries on both intelligence and white lists. Evidencing decisions and approvals in the case management tool. Technology (TFS/ES/CMT) – An in-depth understanding of the fuzzy logic and algorithm settings for the Bank’s transaction filtering systems (cross border and domestic), entity screening (customer & associated parties, vendors). Presented to management at each upgrade on the current settings and the tests to support that it’s fit for purpose Training –The presentation materials on sanctions risks are revamped annually to ensure current scenarios and vulnerabilities to the Bank are captured. At various times ad-hoc classroom based training is conducted to Bank staff more vulnerable to such exposure Policy – Annually refresh policies and ensure there’s global consistency in our messaging to the business Audit / Regulator –Audit found no significant findings during my administration. Presented to the FCA on our Trade Finance checks and they were impressed with the level of granularity that MUFG was left out of the FCA’s survey to Bank’s on their trade finance risk controls. Show less