Matthew Halsall Email & Phone Number

London, Gb

London, Gb

London, Gb

Initially recruited as the Head of Compliance Monitoring, my role was redefined and ex- panded, to deputise for the Head of Compliance/MLRO (SMF16/17) as the Senior Compliance Manager responsible for Compliance Monitoring and Governance, a ‘Material Risk Taker’ for the bank with 3 direct reports.• I have co-run the Compliance Department, from April 2022 onwards, following an ex- tended absence to the existing Head of Compliance/MLRO.• I lead a 3-person team, responsible for the delivery of the Compliance Monitoring Plan, updating Compliance policies, Regulatory Reporting, Horizon Scanning, Compliance training and dealing with all conduct related advice (including Financial Promotions, SMCR, Conduct Breaches and Vendor Management, KYC, Transaction Monitoring, Whistleblowing, Conflicts of Interest).• Conduct ongoing reviews of KYC and Customer Due Diligence, Sanctions Screening and Transaction Monitoring checks.• The Compliance Monitoring plan involves multiple reviews bank-wide, split between larger thematic based reviews and periodic control checks.• My responsibility is to manage the Compliance Monitoring and Governance team and ensure timely completion of deliverables; produced to a high standard. I am also sec- retariat for the Compliance and Risk Management Committee, which involves production of the MI pack, presentation at the committee, following up on agreed actions and pro- duction of the committee minutes.• Other tasks have included the completion of the annual bank-wide Financial Crime Busi- ness Risk Assessment, development and delivery of Compliance training, tracking and completion of s166 and internal audit actions.

London, Gb

Zurich, Ch

London, Gb

London, Gb

London, London, Gb

London, Gb

London, Gb

London, Uk, Gb

Gb

Boadilla Del Monte, Madrid, Es

Gdl, Law

Bcom, Business Commerce

Education record

Education record