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Work Background
Starling BankAML Compliance Consultant
Nov. 2024 - Jan. 2025London Area, United Kingdom• KYC Remediation of the bank's backlog files consisting of various entity types, such as Limited companies, Workplace Pension schemes –(SIPP, SSAS, Master Trust Pension), Trusts, Partnerships, Public Liability Companies, Charities, NGO’s, Trusts, Professional Services firms, Charities and Political /Religious Associations, Nominee Directorships/Shareholders, Hedge Funds, SPV/SPE, SPACs, Private Investment Vehicles, Foundations, Collective Investment Schemes, Corporations E.T.C
Nationwide Building SocietyAML Escalations and Approval Consultant
Oct. 2023 - Oct. 2024London Area, United KingdomProvided AML resources /review on clients’ files that have been alerted due to Legal Instruments, Produce/ Production orders, Disclosure orders, and Sanction Alerts to uphold or reject the decision of the first line of Defence for retention /exit/upgrade or downgrade of Risk ratings nationwide has the appropriate mitigating plan for relevant clients
NatWest GroupAML Consultant / Complex Conversion Cases Project
Aug. 2021 - Sep. 2023London Area, United Kingdom•I provided expert resources to the CDD/EDD team for High-Risk investigations, complex transaction analysis, and reporting suspicious activities related to money laundering and terrorist financing under the relevant Bank control and quality standards and other existing regulatory requirements. •Acting as Escalation Point for queries across Corporations, (Non-Bank) Financial Institutions, Hedge/Mutual/Private Equity Funds (PEFs), Trusts, Charities, Foundations, Correspondent Banking/Institutional Cash, Trade Finance
Handelsbanken UK, LondonQuality Assurance Analyst: Transaction Monitoring Project
Apr. 2021 - Jul. 2021London Area, United KingdomPerformed timely Quality Control Reviews such as day-to-day quality reviews on alerts processed by the first-level reviewers. Update all relevant MI to confirm completion of reviews and errors identified: ◦ Ensure the quality assurance reviews are completed within the stipulated time frame and defined SLAs; ◦ Escalates issues as applicable; ◦ Perform against the standardised quality methodology and support the usage of these standardised tools; ◦ Maintain high-quality standards and avoid rework on the quality assurance review completed; ◦ Effectively cascade any process-related communication to stakeholders, like process changes, updates, etc.. Also, provide structured coaching on an on-going basis to help improve individual operator performance by conducting quality huddles and timely feedback, which is duly signed off; ◦ Act as a process expert and extend support to the operations team by sharing best practices amongst quality and the operations teams;
Ebury UK, London (FINTECH)Senior KYC Analyst: Remediation Project
Oct. 2020 - Jan. 2021London, England, United KingdomI ensured Ebury’s full awareness/understanding of all risk factors from high risk clients in order to enable implementation of approriate risk mitigation to manage the relationship in compliance with relevant Regulatory requirements by: ◦ Performing Gap Analysis on allocated case files for completion of Remediation Review ◦ Providing CDD advice to Business Consultants based on entity types and clients’ risk level ◦ Conducting end-to-end reviews of clients’ files, exploring complex ownership structures to identify hidden UBOs, screening stakeholders (entities/individuals), discounting emerging/escalating alerts ◦ Conducting high-level / in-depth investigations of potential suspicious activity encompassing AML, Sanctions & Embargoes, Anti-Fraud and Investigations, Anti-Bribery & Corruptions (ABC), as well as other criminal offences ◦ Preparing EDD summary reports for MLRO’s approval of the file ◦ Investigating and validating entities’ SoF with documentation, e.g. Invoices, Bank statements, and investigating UBOs’ SoW Narrative to identify seed capital and documentary validation ◦ Executing client exit process according to the bank’s procedure manual.
Deutsche BankQuality Assurance Analyst (2LOD)
Apr. 2020 - Oct. 2020London, England, United KingdomI ensured CLM-reviewed files were completed correctly and in compliance with key Operating Standards by Conducted QA Review (2LOD) on CLM-reviewed files, including testing 1st Line of Defence-completed files across various global regions as allocated on monthly basis, while participating in the Bank’s global remediation project on failed files: ◦ Ensuring 1LOD applied appropriate CDD / EDD in line with client’s risk rating and detailed information obtained re SoW, SoFs, Identity Verification documents for UBOs, and relevant Client Senior Managers and Ownership structure ◦ Communicating exceptions errors identified on worked cases to the team for rework/necessary amendments/ correction ◦ Reviewing screening documents to ensure appropriate discounting/escalation for all adverse news media, Sanctions and (PEP) Alerts ◦ Ensuring timely achievement / reporting of team deliverables, managing monthly Case Tracker and producing weekly and monthly MI for senior management ◦ Resolving complex ownership structure to identify UBO individuals and IBO entities were correctly identified and screened as per regulatory requirement ◦ Providing Advisory input for Senior Management’s Clients’ Risk Rating-related activities and guidance to KYC team on issues relating to Sanctions, Adverse news media and PEP Status issues as a SME.
Europe Arab BankSenior KYC Analyst
Sep. 2019 - Mar. 2020London, England, United KingdomI ensured compliance with Bank procedures and international regulatory requirements (FCA, AML, KYC and MSA) of Sensitive High / High / Medium / Low Risk individuals and entities, involving: ◦ Conducting End-to-End reviews of High-Risk clients ◦ Managing Onboarding & Remediation activities on new and existing Suppliers / vendors ◦ Investigating and documenting Sanction alerts/adverse news found against Entities, UBOs and PEPs, ◦ Verifying Complex Ownership Structure ◦ Participating in review and updating of Banks AML/CTF policy and procedures / standards ◦ Providing guidance on MIFID II Client Classification and Client relationship in accordance with FCA COBs 3.5 ◦ Supporting KYC Manager with Quality Control Review of Low/Medium risk cases prior to approval ◦ Assisting with case distribution and progress monitoring and providing 1:1 training to junior colleagues as required.
SMBC Nikko Capital Markets LimitedCompliance Analyst
Mar. 2017 - Jun. 2019London, England, United KingdomI verified the quality, correctness and completeness of KYC/DD on Medium/High-risk Customers and preparation of High-risk cases for MLRO/DMLRO Review & Approval - while holding Approval responsibility for all Low/Medium-risk cases - involving: ◦ QA Review of allocated completed cases from KYC team, communicating exceptions/errors for rework/amendments as necessary to achieve quality standards ◦ Transaction Monitoring to detect Red Flag activities and investigating Suspicious Activities and reviewing SARs ◦ Providing expert advice to the team on MIFID Classification based on FCA COBs 3 Application.
Deutsche BankKYC/CDD QA/QC Specialist
Sep. 2016 - Mar. 2017Newcastle upon Tyne, United KingdomI supported the CDD/EDD Operations Team to ensure quality control and regulatory compliance of High-Risk investigations, complex transaction analysis, and reporting of suspicious activities in relation to money laundering and terrorist financing by: ◦ Providing specialist resource and technical assistance to the CDD/EDD Operations Team and expert guidance to Relationship Managers, acting as SME for Institutional Cash and Trade Finance across multiple jurisdictions ◦ Acting as Escalation Point for queries across Corporations, (Non-Bank) Financial Institutions, Hedge/Mutual/Private Equity Funds (PEFs), Trusts, Charities, Foundations, Correspondent Banking/Institutional Cash, Trade Finance.
JPMorgan Chase & Co.Quality Assurance Analyst: AML / KYC
May. 2016 - Aug. 2016London, England, United KingdomI contributed to a QA model for the Bank’s KYC/CDD processes/requirements to drive regulatory compliance and support the day-to-day completion of client due diligence process (client vetting, AML compliance, sanctions etc.), involving: ◦ Strategising with functional teams to develop a sound QA methodology ◦ Extracting and verifying key information from relevant reports and systems to drive a robust quality control process ◦ Coordinating project meetings/reports/milestones to communicate progress and support ◦ Providing key metrics/reports to management on progress of reviews and frequency/materiality of findings.
Credit SuisseKYC/EDD/AML Analyst
Jan. 2016 - Mar. 2016London, England, United KingdomI contributed to the Remediation Project by ensuring continual and strict adherence to DD standards of a wide range of High/Medium/Low risk entities e.g. Limited Companies/Partnerships, Partnerships, NGOs, Trusts, Charities, Foundations for risk management purposes.
FCMB Bank UK LimitedCustomer Onboarding/Due Diligence Analyst
Jan. 2013 - Dec. 2015London, England Metropolitan AreaI ensured compliance with UK and global financial regulations (FSA, AML, KYC) and the bank’s/clients’ policies of both individual and corporate clients by conducting Due Diligence and Customer On-boarding in line with Data Privacy/Protection.
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