Thamer F. Al-Hazmi Email and Phone Number

• Responsible and overseeing as Chief Compliance Officer / Money Laundering Reporting Officer (MLRO) for all Compliance and Anti Financial Crime activities, a point of regulator contact and coordination for 2 entities within the Middle East region. Registered with the Capital Market Authority “CMA” (KSA); and the Financial Services Regulatory Authority “FSRA” in ADGM (UAE).• Ensuring the Compliance framework is enacted for the supported legal entities, as well as being advisory in… Show more • Responsible and overseeing as Chief Compliance Officer / Money Laundering Reporting Officer (MLRO) for all Compliance and Anti Financial Crime activities, a point of regulator contact and coordination for 2 entities within the Middle East region. Registered with the Capital Market Authority “CMA” (KSA); and the Financial Services Regulatory Authority “FSRA” in ADGM (UAE).• Ensuring the Compliance framework is enacted for the supported legal entities, as well as being advisory in nature, by delivering compliance advice to business units on projects, new product offerings, and sound regulatory interpretations.• Providing Compliance Executive Reporting to Senior Management, Boards, Committees and Compliance Management; also delivering Compliance programs for areas of responsibility at both a legal entity and business unit level. In addition, liaising closely with EMEA Compliance; to design a curated Compliance Monitoring / Testing program for the supervised entities.• Performing compliance risk assessments, informing the business of the risks identified, and challenging the adequacy of relevant controls. In addition, to monitor / assess day-to-day basis the adequacy and effectiveness of the measures, controls, policies, and procedures in place; to ensure compliance with the regulatory responsibilities and prevent ML/TF risks.• Assisting the UK and Mainland EMEA Regulatory Developments Compliance team and the business to monitor regulatory developments, including industry thinking and guidance, as they relate to KSA and UAE. Show less

• Manage / oversee 3 functions within the AML-CTF Department (Financial Investigation | Regulatory Sanction and Compliance AML-CTF Advisory). A Subject Matter Expert in developing FCC business requirements for implementing a comprehensive systemized AML Sanction & Transaction Monitoring System; covering the primary modules, configuring smart scenarios, and executing analysis for fine-tuning thresholds.• Responsible for implementing and performing a comprehensive Risk-Based Approach… Show more • Manage / oversee 3 functions within the AML-CTF Department (Financial Investigation | Regulatory Sanction and Compliance AML-CTF Advisory). A Subject Matter Expert in developing FCC business requirements for implementing a comprehensive systemized AML Sanction & Transaction Monitoring System; covering the primary modules, configuring smart scenarios, and executing analysis for fine-tuning thresholds.• Responsible for implementing and performing a comprehensive Risk-Based Approach Program; comprising of advanced AML-CTF risk assessment program on products & channels; via a certified risk assessment online tool; to assess the internal controls, inherit risks, and outline the residual risks for applying for a dynamic Compliance Monitoring / Testing Program. • Produce regulatory AML-CTF Executive Risk Reports to the governing committees; to highlight various AML-CTF elements and the reporting of necessary mitigation control in relation to Client Acceptance / KYC / CDD / EDD policies and High-Risk & PEP risk-profiling. Also, establishing key procedures in relation to analytical investigation, sanction screening guidelines, and Compliance AML Advisory for lines of business. Show less

Part of an Investigation team to monitor potential market violations, suspicious transactions via the AML Transaction Monitoring System and perform the necessary due diligence on transactional alerts, and report the cases to the MLRO for further instructions.Assist in the compiling and reporting of cases to the FIU (Financial Investigation Unit – Ministry of Interior – Kingdom of Saudi Arabia); also manage CMA AML inquiries / communications. Perform enhanced due diligence… Show more Part of an Investigation team to monitor potential market violations, suspicious transactions via the AML Transaction Monitoring System and perform the necessary due diligence on transactional alerts, and report the cases to the MLRO for further instructions.Assist in the compiling and reporting of cases to the FIU (Financial Investigation Unit – Ministry of Interior – Kingdom of Saudi Arabia); also manage CMA AML inquiries / communications. Perform enhanced due diligence monitoring in regard to PEP and high-risk clients within a watch list management platform and monitoring any potential sanction matching; for the reporting of such matches to the MLRO.Assist in updating internal policies and procedures to reflect the guidelines of the CMA - AML Rules. While also assisting in producing statistical and year-end reports for the MLRO and the relevant committees. Show less

Drafted in the bank's prominent “MTP” Management Training Program and assigned to be a customer service officer in the main branch, my responsibilities were mainly opening customer and employee accounts, and issuing credit cards. Supported in managing a list of private banking accounts.I was nominated to move to the Finance department and become a consumer credit officer. I was responsible for managing and approving customers' credit ratings for their personal loan applications. Granted… Show more Drafted in the bank's prominent “MTP” Management Training Program and assigned to be a customer service officer in the main branch, my responsibilities were mainly opening customer and employee accounts, and issuing credit cards. Supported in managing a list of private banking accounts.I was nominated to move to the Finance department and become a consumer credit officer. I was responsible for managing and approving customers' credit ratings for their personal loan applications. Granted with a direct signature for approval of loan requests. Show less