Mark Phillips Email & Phone Number

London, England, United Kingdom

> People management of a team of AML/CDD specialists. Lead and support training and development of all staff across the team and generate a culture of teamwork, overseeing day to day activities and acting as a point of escalation for more complex transactions and issues> Participate and contribute to JTC’s risk committee and provide regular reports and updates while taking a ‘no surprises’ approach> Keep up to date with all relevant regulations and business developments> Work closely with stakeholders and R&C to develop the JTC AML/CDD compliance strategy> Lead/support on AML/CDD related deliverables for key operational projects, such as on-boarding new business and migrating work between jurisdictions.> Support the team strategy and growth of the team and business by identifying areas for process and client experience improvement.> Adherence to all relevant regulatory requirements and own associated reporting.> Understand the TA workflow and enhance the relevant processes and controls in order to perform daily operational processes.> Ensure that the register and underlying KYC and core static data is accurate and up to date in line with departmental procedures. This includes ensuring that JTC obtains missing KYC and CDD data when necessary> Provide information for internal/external reporting in accordance with relevant SLA's, direct requests from clients or other parties.> Drive implementation, refinement, documentation and compliance of the investor services team’s AML/CDD deliverables with best practice policies and processes. > Lead in responding to any regulator/client/auditor or investor services AML/CDD related queries, collaborating closely with relevant internal/external stakeholders> Actively participate in team initiatives such as procedure documentation and system testing.> Produce MI, KPI and regulatory reporting as required.> Understand the systems and drive efficiencies and risk-reduction initiatives within the system and processes.

London, England, United Kingdom

My overall role included the planning and implementation of the Financial Crime First and Second line of defence teams within SS&C UK. This also includes building a Compliance Monitoring Framework and conducting Financial Crime Compliance reviews of the various business areas within SS&C and reporting as appropriate to Board and/or clients. I had overall ownership and implementation of the annual FCC monitoring plan across SS&C UK, working with internal teams to ensure that procedures are current and followed correctly and also assist with analysis of FCA, JMLSG and industry papers, co-ordinating feedback from clients where appropriate.Performing trend analysis from high risk case reviews and act as the SS&C referral point for our internal Control team for fraud control report implementation and to provide support and cover for other members of the FCC team on referrals to the #MLRO mailbox, taking Contact Centre calls on restricted accounts and suspicious activity reporting.Digital service offerings were requiring Financial Crime sign off by myself before implementation.SAR and fraud ownership in my role of Nominated Officer to the SMF17 MLRO. Expertise in Sanction, PEP and Adverse Media decision making and keeping abreast of the various UK and Worldwide Sanction Regimes ensuring lists are available for screening including OFSI, OFAC, UN and EU. Business Relationship Owner for the 3rd party software relating to Sanction, PEP and Adverse Media screening and control internal budgets relating to annual support contracts, escalating issues and work with them to resolve issues Project Manager for a successful software upgrade during 2020 ensuring Compliance and Oversight of the service on behalf of approximately 40% of the UK Asset Management company industry.Also responsible for Financial Crime Compliance activity of behalf of one of the UK's biggest Asset Management companies as an additional service offering.

· To plan, implement and provide oversight of the First Line Operational team and to conduct oversight of Suspicious Activity Reports, AML, Breaches and high risk cases identified and provide opinion and recommendations.· To own and implement the annual FCC monitoring plan across SS&C UK, working with internal teams to ensure that procedures are current and followed correctly.· Trend analysis from high risk case reviews and assist in draft procedures and implement for Management Companies where new processes are identified.· To act as the SS&C referral point for our internal Control team for fraud control report implementation· Provide support and cover for other members of the FCC team on referrals to the #MLRO mailbox, taking Contact Centre calls on restricted accounts and suspicious activity reporting· Expertise in Sanction, PEP and Adverse Media decision making and keeping abreast of the various UK and Worldwide Sanction Regimes ensuring lists are available for screening including OFSI, OFAC, UN and EU· Assist colleagues in cross border jurisdictions for AML/Sanctions issues· Investigate and own cases where a confirmed fraud has been identified, producing trend analysis and ensure that suitable controls are in place to eradicate any gaps in process.· Own cases where a Production Order or Freezing Order is received.· To assist the MLRO in the production of the annual MLRO Report.· To assist with annual and ad hoc SS&C Disaster Recovery testing· Contribute to the Digital Service offerings relating to FCC and Compliance situations.· Joint Chair of internal Second and Third Line of Defence monthly meetings including working through corrective actions where required · To coach and develop colleagues in FCC team both in UK and offshore

London, United Kingdom

My overall role is to ensure that we are pro-active in dealing with internal departments and stakeholders. By monitoring and auditing the quality of business and ensuring that underwriting decisions met an acceptable standard for loans sales and securitisations, I reduce the fraud risk to the company and its clients and ensure that remedial action is taken on any fraud or money laundering issues identified. My personal responsibilities include the following:-· Fraud detection, investigation and prevention including CIFAS and HUNTER champion (UK industry fraud systems used to combat fraud in the financial sector)· Managerial responsibilities including objective setting and training and development of staff· Completion and ownership of company Crime Awareness Training · Responsible for all Fraud related issues for loan boarding when new lending books won by Acenden.· Internal and External audits of underwriting and intermediary files. Conducting fraud reviews from account inception to completion or upon receipt of fraud allegations · Police and criminal investigation liaison, also production of witness statements and attending court regularly to give evidence to CPS for criminal prosecutions· Packager and Introducer performance reviews including the removal and approval of these companies to our panel lists and perform fraud trend analysis· Joint Chair of the Sub Prime Quarterly fraud forum· Liaison with the Compliance and Legal teams to resolve issues across the group· Investigating staff fraud, payment fraud, debit card chargeback’s and direct debit indemnity claims· Investigating solicitor, valuer and accountant fraud and collusion

London, United Kingdom

City Of London Retail Business Centre

City And West End Regional Office

Various Branches And Business Centres