Based within the Bank’s Europe Treasury Department, my role included the following:• Carry out periodic testing as laid out within the Bank’s Compliance Monitoring Program• Assess the findings of reviews and adapting new strategies where necessary, ensuring that all procedures are kept up to date and communicated to the relevant business areas• Periodic in depth and targeted departmental reviews • Management Information Reporting to both Head Office and Branch level committees • Liaising with Regulators, and internal and external auditors on all matters, working alongside them to perform reviews of processes and ensuring that any issues that are identified are tracked and remediated in an agreed timescale• Communications Monitoring – Bloomberg, Reuters, email and telephone calls for instances of market abuse and insider trading, and to ensure that the bank is adhering to the FX and LIBOR Codes• Review any FX trades that fall outside of specified tolerances and rules• Transaction monitoring via the Bank’s in-house systems• Review and approval of Gifts & Entertainment applications• Review and approval of market commentary documents and client presentations in line with FCA guidelines for communicating with clients, and providing feedback to staff as required• Provide Compliance guidance and advice to Treasury staff on an Ad Hoc basis• Present training to Bank staff on a range of materials and topics

• Responsible for the timely, accurate, and effective completion of AML & KYC checks. Performing more complex AML checksSupervising a team of analysts performing checks and reviewing their workCollating and escalating policy queries/exceptions to the team co-ordinator• Maintenance of a depository of data relating to major clients• Collate and provide management information to the team manager• Assist the group leader with data, technology and process improvement initiatives• Support implementation of new processes and technology by performing User Acceptance Testing as a subject matter expert

Third party administrators for clients including Credit Suisse, Morgan Stanley and HSBC.(Reading, Berks) Responsible for establishing and implementing Anti-Money Laundering (AML) and Appropriateness (MIFiD) procedures to comply with new regulations at that time. Team Leader of Production Room (data entry team) and Quality Assurance Teams (AML , KYC and Appropriateness checks).Duties included:• Responsible for the management of all aspects of daily business submitted to KIS in line with specified service level agreements , regulatory requirements and according to TCF rules.• Dealing with the receipt and processing of all incoming applications to the business to ensure the client onboarding experience runs as smoothly as possible• Overseeing two busy administration teams comprising nine staff ensuring sufficient cover and succession planning as well as multi skilling is evident throughout the teams.• Ensuring that procedures are regularly kept up to date and adhered to in order to prevent potential breaches of regulation and / or investor complaints.• Monitoring regulatory updates in liaison with Compliance and cascading these to the teams.• Dealing with escalated queries from Independent Financial Advisers who question the mandatory requirements we place on applications received.• Liase with Client Relationship management, responsible for our third party administration (TPA) relationships, to ensure that any new or special client requirements are accommodated and included in daily procedures.• Ensuring that individual objectives are set for each Administrator and quarterly and annual appraisals are completed and properly documented including staff development plans and associated exams or training according to company policy.• Managing any performance issues arising.• Recruit, train, lead and motivate personnel with diverse skills and varying functions to exceed customer expectations.

Responsible for providing insurance premium finance quotes to Aon clients for nine separate regions across the UK. This involved liaising with insurance brokers to discuss client needs, performing credit checks and calculating rates for the finance options based on the then current cost of funds. I also processed the completed agreements onto our system in a timely and accurate manner and ensured that all relevant paperwork was received and completed correctly.In order to meet monthly sales targets, I was also required to help attract new business to the company in addition to maintaining existing client agreements.

Part of the team responsible for the transfer of customer holdings to other fund managers. Duties and experience gained while at INVESCO include:• Liquidating customer holdings and forwarding payment by cheque to client’s new fund manager• Collating daily and weekly statistics to monitor volumes and identify departmental needs• Answering customer queries and complaints by telephone and letter• Regular liaising with other departments to ensure the smooth running of the business• Training new staff• Recording and calculating costs of any regulatory breaches