Simon H. Email & Phone Number

London, England, United Kingdom

London, United Kingdom

Financial Crime Compliance

London, United Kingdom

• Main ResponsibilitiesWorking closely with the MLRO/Head of International Financial Crime in all aspects of that role, including but not limited to:
• oversight of the AML Surveillance team to ensure that alerts generated from the automated surveillance system are fully investigated
• provide advice and guidance on sanctions related matters to all impacted stakeholders including staff, compliance officers and senior management
• oversight of international SB entities
• developing and implementing AML policies and procedures across SB international group
• ensuring adequate arrangements for awareness and training are in place across SB international group

London

Money Laundering Reporting Officer, Wells Fargo Bank NA, London Branch and Wells Fargo Securities International Limited Manage, undertake and enhance the Financial Crime surveillance program which includes both automated and manual solutions covering money laundering, fraud, bribery and corruption and terrorist financing.  Develop and review policies and.

London, United Kingdom

• Key roles and responsibilities:
• Review transaction and payment reports for unusual patterns of behaviour by comparing that information against the known customer profile from the automated monitoring system;
• Developing and producing policy a wide range of areas which have included AML and Financial Crime, Fraud, Politically Exposed Persons (PEPs), Sanctions, Customer Take-On and Customer Acceptance;
• Reviewing all PEPs and high-risk clients from an AML perspective;
• Developing and producing departmental guidance notes that have included client take on requirements for brokers;
• Developing an AML risk assessment of the banking products to begin departmental AML desk reviews;

London, United Kingdom

• Key roles and responsibilities:
• Served an attachment at the National Terrorist Financial Investigation Unit, Metropolitan Police as a Financial Investigator into terrorist investigations;
• Taking the lead on my own caseload of terrorist investigations
• Undertake enquiries through financial institutions and other companies in regard to sensitive enquiries;
• Dealing with enquiries on Consent issues whilst at SOCA/NCIS.
• Produce financial profiles on specific nominals within investigations;