Tom V. Email & Phone Number

London, England, United Kingdom

• Supporting the review, redesign and enhancements of the Bank’s financial crime compliance framework as part of a large scale remediation programme• Advising on escalations from the first line regarding third party risks and Trade Finance matters, including procedure review, enhancements, and clarifications• Performing enhanced due diligence on high risk international corporate clients and financial institutions• Managing, leading and developing a team of financial crime compliance… Show more • Supporting the review, redesign and enhancements of the Bank’s financial crime compliance framework as part of a large scale remediation programme• Advising on escalations from the first line regarding third party risks and Trade Finance matters, including procedure review, enhancements, and clarifications• Performing enhanced due diligence on high risk international corporate clients and financial institutions• Managing, leading and developing a team of financial crime compliance specialists, as well as fostering career development and professional growth within the team• Assessing the policies, procedures, systems and controls of upstream correspondent banks and MSBs for adequacy, and making suggestions for enhancements where necessary• Carrying out visits to and calls with compliance teams of respondent banks and MSBs to facilitate enhancements to their AML framework and to discuss potential compliance concerns• Creating and delivering relevant tailored financial crime training to meet the needs of individual business units and respondent banks• Designing, developing and implementing a new end to end suspicious activity reporting framework, including a cloud-based data management and data retention workflow tool• Managing the investigative process and validating enhanced due diligence findings from initial detection of issues to disposition and review of SAR recommendations• Supporting the Bank’s risk management arrangements as a member of the Compliance & Financial Crime Committee and Relationship Review Committee• Being the Bank’s Nominated Officer for the purpose of receiving, reviewing and disclosing SARs to the NCA Show less

London, England, United Kingdom

• Supporting the execution of remediation of the international high-risk client bases of global financial institution by providing subject matter view with regards to best risk management practice• Supporting Skilled Person’s remediations (s.166) with a subject matter view on all areas of PEP and other high risks, including reasons for classification, materiality of risk exposure, country exposure, sanctions exposure, industry exposure, source of wealth, source of funds, influence, control,… Show more • Supporting the execution of remediation of the international high-risk client bases of global financial institution by providing subject matter view with regards to best risk management practice• Supporting Skilled Person’s remediations (s.166) with a subject matter view on all areas of PEP and other high risks, including reasons for classification, materiality of risk exposure, country exposure, sanctions exposure, industry exposure, source of wealth, source of funds, influence, control, movement of funds on accounts etc. • Reviewing and approving the workflow and reports of junior members, and providing guidance and coaching to mentor their professional development and understanding of financial crime trends and methodologies• Reviewing the end-to-end client onboarding process and working closely with MLROs in making enhancements and improvements to policies and procedures in line with regulatory expectations and industry best practice• Drafting an Onboarding Due Diligence Manuals and a Customer Due Diligence Procedures to reflect recent changes to the Money Laundering Regulations, as amended• Developing Enhanced Due Diligence (EDD) and PEP risk management processes and defining appropriate escalations and monitoring processes to improve the risk management framework for high risk clients in line with the Money Laundering regulations 2019• Assessing second line high risk CDD escalations and advising the first line of defence on AML/CTF risks and mitigants in line with the Bank’s policies and procedures, and industry good practice• Managing and conducting EDD investigations, including suspicious activity to enable the Bank to form sound judgments concerning reputational and financial crime risks Show less

London, United Kingdom

Supporting the delivery of a range of financial crime projects:• Assisted a large British Bank in the review of the due diligence held for their MSB clients and drafted recommendations for enhancements to further mitigate and manage financial crime risk• Supported a large British Bank in the review and enhancement of their financial crime investigatory and advisory functions by identifying pain points and making suggestion for process enhancements. • Developed a management… Show more Supporting the delivery of a range of financial crime projects:• Assisted a large British Bank in the review of the due diligence held for their MSB clients and drafted recommendations for enhancements to further mitigate and manage financial crime risk• Supported a large British Bank in the review and enhancement of their financial crime investigatory and advisory functions by identifying pain points and making suggestion for process enhancements. • Developed a management responsibility map and supported the development of a Financial Crime operating model for a large UK retail bank• Provided advice related to anti money laundering requirements in line with the Money Laundering Regulations 2017 and JMLG guidance to support the implementation of an electronic onboarding platform for a large UK retail bank Show less

London, United Kingdom

Assisting the Head of the Global Financial Investigations Unit (GFIU) with the day to day running of the Anti-Financial Crime program, including but not limited to:• Supporting and training other members of the GFIU in progressing cases, understanding financial crime related issues, and internal policies and procedures in relation to Correspondent Banking, Trade Finance and Letters of Credit to ensure the team maintains a consistent standard of quality in relation to investigations and… Show more Assisting the Head of the Global Financial Investigations Unit (GFIU) with the day to day running of the Anti-Financial Crime program, including but not limited to:• Supporting and training other members of the GFIU in progressing cases, understanding financial crime related issues, and internal policies and procedures in relation to Correspondent Banking, Trade Finance and Letters of Credit to ensure the team maintains a consistent standard of quality in relation to investigations and analysis• Reviewing escalations from the business and CDD team on high risk clients, including (Corporate) Trusts, Corporate Banking, Private Banking and High Net Worth Individuals.• Conducting investigations and research into adverse media findings; analysing the information for materiality, and identifying relevant mitigants where appropriate• Completing country risk analysis to evaluate the bank’s potential exposure to money laundering, terrorist financing, bribery, corruption and fraud in higher risk jurisdictions, and appraising the Head of the GFIU and senior management at head office of emerging financial crime risks and issues Show less

London, United Kingdom

Promoted from analyst to team leader within three months of joining• Assisting the Deputy MLRO with all daily AML and financial crime compliance duties (e.g. sanction monitoring, politically exposed persons, suspicious activity reports, enhanced due diligence, risk assessments, internal audits, quality assurance, compliance framework improvements, and reporting)• Dealing with escalations from the KYC review team and providing feedback and assistance in relation to adverse media, PEPs… Show more Promoted from analyst to team leader within three months of joining• Assisting the Deputy MLRO with all daily AML and financial crime compliance duties (e.g. sanction monitoring, politically exposed persons, suspicious activity reports, enhanced due diligence, risk assessments, internal audits, quality assurance, compliance framework improvements, and reporting)• Dealing with escalations from the KYC review team and providing feedback and assistance in relation to adverse media, PEPs and Money Laundering Regulations 2007 and JMLG guidance related matters • Completing EDD assessments, background searches and PEP profiles as well as analysing and researching high-risk triggers (e.g. jurisdictional, industry, delivery channel risk, etc.)• Identifying materiality of adverse media findings (incl. aggravating and mitigating factors) to properly assess the risk associated with high net worth and PEP clients• Assessing complex due diligence files for ownership and control structure, source of wealth and source of funds etc. and determining whether updates or additional documentary evidence are required• Supervising and supporting a team of three remediation analysts in reviewing and remediating high risk client files such as PEPs, off-shore corporate structures and trusts etc. for adequacy of KYC and Due Diligence information, including source of wealth and source of funds for the bank’s Gulf-based client base Show less

Master Of Business Administration - Mba, Sustainable Finance, Distinction

00043872

Pgce French With Spanish, Languages, Pass

Geography, Urban Planning And Social Dynamics, Distinction