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Work Background
British International InvestmentCompliance Officer
Aug. 2024 - Mar. 2025London Area, United Kingdom• Undertake monitoring of selected areas in line with a compliance monitoring programme and assist with the ongoing enhancement of that monitoring. • Assist in the drafting and updating of firm and group wide policies and procedures and deliver compliance training to the business.
• Responsible for managing the Senior Manager & Certification Regime (SMCR) requirements
• Support the development of the investment teams’ knowledge of compliance requirements through designing and as appropriate, delivering tailored training and updates at team meetings. • Assist in the preparation of MI reports on compliance and regulatory issues for senior management ahead of board and senior management meetings.
• Dealing with employee compliance requests and queries associated with Personal Account Dealing (“PAD”), Gifts, Hospitality & Entertainment, Outside Business Interests, and Annual Compliance Declaration.
• Assist in supporting the handling of compliance matters and queries and managing the Compliance inbox.
• Running regulatory governance and oversight of the large-scale reporting obligations
• Advise employees on specific application of Conflict-of-Interest policy and its attendant procedures as it relates to monitored interactions
National Bank of Kuwait (International) PLCCompliance Officer
Oct. 2023 - Aug. 2024London, England, United Kingdom
MUFGCompliance Officer
Mar. 2023 - May. 2023London, England, United Kingdom
S&P GlobalCompliance Officer
Dec. 2021 - Dec. 2022London, England, United Kingdom
Federated HermesCompliance Officer
Mar. 2021 - Oct. 2021London, England, United Kingdom
The Bank of East Asia, Limited (BEA)Compliance Officer
Sep. 2020 - Nov. 2020London, England, United Kingdom
HSBCAssistant Manager Compliance
Jan. 2019 - Dec. 2019London, United Kingdom• Successfully undertaking regular assessments of current compliance status and establishing, monitoring and reviewing mechanisms to ensure compliance with policies and procedures.
• Maintaining and monitoring the firms Chinese walls/wall crossing and flow of price sensitive information.
• Implementing necessary sales, trading and research restriction.
• Management of the firms insiders list.
• Providing advice and guidance to the business in relation to the Chinese wall , insider dealing, market abuse, permissible interaction with research analysts and the implication of not following the firms restricted list policy.
• Managing projects in relation to the Personal Account Dealing system and processing enhancements
• Monitoring processes requirements, providing guidance and supporting regulatory change on relevant regulations such as MiFID II, Market Abuse Regulation, COBs
BNP ParibasCompliance Officer
Aug. 2018 - Jan. 2019London, United Kingdom• Provided tailored advice on Personal Account Dealing/Outside Business Interest/Gifts & Entertainment requirements as per the policy.
• Effectively managed the onboarding process of new joiners e.g. account disclosure and classifications etc.
• Maintaining and monitoring the firms Chinese walls/wall crossing and flow of price sensitive information.
• Implementing necessary sales, trading and research restriction.
• Coordinated the project of identifying high risk business areas and whom should adhere to the Personal Account Dealing policy.
• Coordinated the review and updated the conflicts policy and procedures.
• Leading the project on the development of a new conflict management system.
• Provided MI relevant to the Personal Account Dealing/Outside Business Interest/ Gifts & Entertainment function for both the business and compliance management.
• Provided sound advice to employees around bribery and corruption based on regulation such as the UK Bribery Act, the Foreign Corrupt Practices Act and OECD Convention on corruption.
• Provided adequate training of staff on Personal Account Dealing/Outside Business Interest/ Gifts & Entertainment issues.
• Conducted PEP and Sanctions checks to ensure tall regulatory requirements were successfully met.
• Identified any suspicious gifts and entertainment requests and ensured that full reports were compiled and escalated to the Money Laundering Officer (MLRO).
• Supported the review and documentation of ongoing risk assessments with respect to anti-bribery risk.
• Analysed regulatory developments, such as FCA, PRA and EU legislation, to interpret the impact to the business areas; conducted gap analyses where appropriate.
Barclays Investment BankCompliance Officer
Apr. 2017 - Aug. 2018London, United Kingdom• Maintaining and monitoring the firms Chinese walls/wall crossing and flow of price sensitive information.
• Implementing necessary sales, trading and research restriction.
• Undertook detailed analysis of data within the personal trading request system to investigate trades which appeared suspicious/had been flagged for review in the personal trading approval system.
• Provided effective guidance and supported regulatory change on relevant regulations such as MiFID II, Market Abuse Regulation, COBs.
• Managed and created internal compliance SharePoint for employees; directly contacted and advised staff on personal account dealing requirements as per the policy.
• Accurately checked against watch lists for hits on the global restricted list and confirmed holding periods for personal trade requests.
• Reviewed outside business affiliation/private investment to determine any potential conflicts.
• Applied initiative to develop policies, procedures and best practices for each business area. Presented breach and escalation information when employees had contravened the policy.
• Learnt and understood the policy and procedures for Outside Business Interest; Ensured currently policies were in line with UK and European legislation.
KPMG UKCompliance Officer
Aug. 2016 - Apr. 2017● Providing advice on investment products and services, UCIT funds, OEICs, hedge funds and structured products
● Ensuring that all traded entities are pre-cleared before an employee can engage.
● Provide compliance support and advice to the group in the UK in relation to all business activity to ensure compliance with required FCA rules and requirements.
● Monitoring employees broker accounts to ensure that they are not engage with any audit clients of the business or entities audited within the same segment
● Monitoring and advising partners on relevant FCA rules in relation to regulated products, conflicts of interests; ethics and independence rules.
● Monitoring employees accounts to ensure that all transactions have been declared in the Internal system.
● Engaging in personal compliance audits for partners/directors.
● Educating the different segments about regulatory changes to ensure that the quality of compliance is always at the highest level.
● Writing reports in relation to compliance breaches and escalating compliance issues to senior management.
● Completing weekly and monthly MI reports for senior management to highlight any areas that need compliance improvement.
● Working with team-members to ensure regulatory developments are integrated into documentation and processes.
● Performing sampling and periodic oversight to ensure compliance processes are performed in accordance with the policy and regulations.
RBSRegulatory Compliance Analyst Global Control room
Jun. 2015 - Aug. 2016London, United Kingdom• Ensured all new joiners completed attestations in relation to Personal Account Dealing and Managing Personal Conflict.
• Management the firms insiders list.
• Ensured that Broker accounts belonging to new joiners and current employees were disclosed; processed and monitored employee trade requests and personal dealing accounts.
• Provided guidance and supported regulatory change on relevant regulations such as Market Abuse Regulation (Insider Lists, MarketSounding), MiFID II, COBs.
• Ensured PA dealing requests were approved in a timely and efficient manner in addition to reviewing and reconciling trade request.
• Checked against watch lists for hits on the global restricted lists and confirmed holding periods.
• Developed policies, procedures and best practices for each business area.
• Managed the trade reconciliation process; matched contract notes with approved requests and checked monthly / yearly statements for any irregularities.
• Controlled the violation process, issued “warning” notice, sent’ Breach Notice’ and maintained the Violation log.
• Produced weekly / monthly MI for senior compliance and business management staff. Escalated any suspicions or irregularities of any trading to senior compliance management and aided the wider Compliance team in respect of investigations and data requests.
Criminal Defence SolicitorsLegal Administrative Assistant /Caseworker
Jun. 2012 - Apr. 2013Strand , London•Management of Magistrates’ and Crown Court files –dealt with cases throughout court process. •Meeting with Clients and Counsel to discuss case papers and any other relevant issues as appropriate.
•Responsible for opening the file, liaising with clients, Counsel and other relevant bodies, taking evidence and regularly corresponding with clients. •Processing Bail applications for clients both youth and adults
• Training newer members of the team on company ethics and case handling procedure. • Drafting legal documents (including bail applications, Mitigation Proof, Witness Statements.
• Attending Court for hearings and to provide support and guidance to clients.
•Attending Video Conferences with clients at the Old Bailey .
• Responsible for legal research on cases and drafting accurate documentation.
• Billing of Files once case has concluded..
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