Patrick Smith Email & Phone Number

New York, Ny, Us

New York, Ny, Us

New York, Ny, Us

- Managed a global team across the US, London, and Singapore who tested KYC samples and Politically Exposed Person screening, ensuring compliance, driving standardization, and increasing quality transparency for international stakeholders- Partnered with Risk and Control, Internal Audit, Financial Crime, and other review functions, drove continuous improvement to the overall KYC control environment- Liaised with global KYC stakeholders to implement a Quality Assurance educational program, decreased policy error percentage from 14% to 3%- Implemented the Global KYC Quality Assurance function and framework for Barclays Investment Bank Operations, fulfilled commitment to the Financial Conduct Authority

New York, Ny, Us

- Supervised team of KYC Analysts responsible for performing due-diligence refresh checks on existing Barclays clients using appropriate research tools and external data sources, validated adherence to Global KYC Procedures- Managed stakeholder expectations across the business for Refresh clients, delivered on urgent reactivations of inactive entities, ensured client documentation standards were met within tight trade settlement deadlines- Allocated analysts’ work, produced Metric Indicators, and served as point of escalation for queries produced

New York, Ny, Us

- Managed a team of up to 10 analysts that document Order Beneficiary Pair alerts in the Wholesale Banking industry utilizing the Mantas case management system- Hired, trained, and mentored new analysts; participated in team expansion from 50 to 400 employees over the past year- Evaluated an average of 300 alerts per month to ensure quality standards were met, Suspicious Activity Report (SAR) and Know Your Customer (KYC) profiles were accurate, and relevant transaction data was represented- Developed production and quality goals for individual team members, ensured team members executed tasks within their channel or department, increased team’s capacity to meet monthly deadlines

New York, Ny, Us

-Served as the AML Supervisor and Subject Matter Expert for 14 analysts by evaluating and resolving issues around quality and content of alerts, used AML/Terrorist Financing guidelines to inform points of escalation-Compiled SAR and KYC history, analyzed data to support investigations, consistently exceeded monthly alert quota -Documented Consumer, Commercial, and Business Banking alerts within the case management system in a timely manner; dispositioned an average of 100 alerts per month-Built relationships with AML Investigations units, Business Partners, and colleagues to ensure policies and procedures were consistent across locations

New York, Ny, Us

- Performed margining, collateral valuation verification, and coupon reporting for highly exacting and sensitive client as Delaware Special Services Team Co-chair, drove client satisfaction by accurately monitoring portfolio- Assisted client hedge against interest rate risk through collateral management and intraday security repricing, resulting in sustained oversight of client’s US Treasuries- Managed settlements process across London, New York, Delaware, Tokyo, and Sydney