COMPLIANCE ANALYST
Lloyds Banking Group via Huntswood
Keywords
Skills
audit trail, databases, Worldpay, CYBER SECURITY, SOX, non-SOX applications, Data Integrity, UAT, IT security, Urdu, Excel, VBA, Python, Coding
Project history
01/2020
-
05/2020
* Remediation project involving multiple products including Mortgages, loans and credit cards.
* Customer Due Diligence, affirming customers through verification checks.
* Researching, gathering and presenting relevant data to the customer ensuring a full investigation
is complete.
* Maintaining a detailed and accurate audit trail, detailing all evidence sourced during
investigations and rationale for all decisions are captured on the banking system.
* Fluency of multiple systems and databases - including Lloyds, Halifax, and Bank of Scotland's
in-house systems.
* Customer Due Diligence, affirming customers through verification checks.
* Researching, gathering and presenting relevant data to the customer ensuring a full investigation
is complete.
* Maintaining a detailed and accurate audit trail, detailing all evidence sourced during
investigations and rationale for all decisions are captured on the banking system.
* Fluency of multiple systems and databases - including Lloyds, Halifax, and Bank of Scotland's
in-house systems.
06/2019
-
01/2020
SETTLEMENTS CONTROLLER
Worldpay from FIS via Lovesuccess
* Process UK and overseas business settlements over multiple currencies.
* Comparison of expected funds in from schemes to the actual funds received daily.
* Investigation of settlement differences: Interchange, scheme fees, refunds, recurring rejections.
* Processing manual journal entries into the General Ledger.
* Complete several daily reconciliations and weekly and monthly submission of Management
Information to deadlines.
* Processing payments through BACS and CHAPs
* Comparison of expected funds in from schemes to the actual funds received daily.
* Investigation of settlement differences: Interchange, scheme fees, refunds, recurring rejections.
* Processing manual journal entries into the General Ledger.
* Complete several daily reconciliations and weekly and monthly submission of Management
Information to deadlines.
* Processing payments through BACS and CHAPs
02/2018
-
10/2018
ASSOCIATE / IAM CYBER SECURITY
* Internal Asset Management for HSBC's banking system through security analysis on critical
internal applications within client's front and back office, SOX and non-SOX applications.
Onboarding and Data Integrity Review of application includes:
* A preliminary UAT Testing (User Acceptance Testing, Dummy testing).
* Bringing the application live to the internal systems through mediatory calls with developers,
managers and approvers.
* Implementation testing on live data. Some of the testing controls includes; Employees having
the right level of access, number of accessible functions, credit limits, segregation of
duties.
Key Accomplishments:
* Reviewed successfully 80 unique and sensitive applications within team of 60 members by
performing strategic and authentic inspections.
* Provided procedural and technical support to co-workers to resolve issues for completion of
assigned goals.
* Delivered IT security for team project across over 60 countries by utilising important data
safety methods.
internal applications within client's front and back office, SOX and non-SOX applications.
Onboarding and Data Integrity Review of application includes:
* A preliminary UAT Testing (User Acceptance Testing, Dummy testing).
* Bringing the application live to the internal systems through mediatory calls with developers,
managers and approvers.
* Implementation testing on live data. Some of the testing controls includes; Employees having
the right level of access, number of accessible functions, credit limits, segregation of
duties.
Key Accomplishments:
* Reviewed successfully 80 unique and sensitive applications within team of 60 members by
performing strategic and authentic inspections.
* Provided procedural and technical support to co-workers to resolve issues for completion of
assigned goals.
* Delivered IT security for team project across over 60 countries by utilising important data
safety methods.
10/2015
-
02/2018
KYC ANALYST - MANAGED SERVICES
EY.
* Conducted transactional monitoring, ownership verification, Sanctions, PEP & Adverse Media
screening on client cases & escalated accordingly to MLRO/ management for review upon suspicious
activities & red flags.
* ID and address verification procedures alongside account monitoring to determine value of new
money and level of activity anticipated based on SOW information attained
* Review and prepare all KYC documentation ready for KYC approval by KYC team Managers
* Appropriate documentation of clients supporting documents such as evidence of legal evidence and
registered address requested and checked in line with KYC policy
* Clients include individuals, Limited Company, Trust, Money Service Business (MSB) etc.
* AML procedures and client screening through business search systems - World Check & NNS
* Customer contact via letter and call made if information received is not in line with KYC Policy,
follow up contact made if no response or clarification on information required
screening on client cases & escalated accordingly to MLRO/ management for review upon suspicious
activities & red flags.
* ID and address verification procedures alongside account monitoring to determine value of new
money and level of activity anticipated based on SOW information attained
* Review and prepare all KYC documentation ready for KYC approval by KYC team Managers
* Appropriate documentation of clients supporting documents such as evidence of legal evidence and
registered address requested and checked in line with KYC policy
* Clients include individuals, Limited Company, Trust, Money Service Business (MSB) etc.
* AML procedures and client screening through business search systems - World Check & NNS
* Customer contact via letter and call made if information received is not in line with KYC Policy,
follow up contact made if no response or clarification on information required
02/2015
-
08/2015
ACCOUNTS CLERK
ANALYSYS MASON
* Entering detailed project expenses through purchase ledger.
* Reconciling credit card accounts and running bank payments.
* Reviewing electronic timesheet expenses for reasonableness, VAT recovery and compliance with
company policy.
* Liaising with UK and overseas office managers to resolve queries and improve the information
input into the finance system.
* Assisting with group reporting and supporting all aspects of sales and purchase ledger and
producing reports on chargeable time monthly.
* Reconciling credit card accounts and running bank payments.
* Reviewing electronic timesheet expenses for reasonableness, VAT recovery and compliance with
company policy.
* Liaising with UK and overseas office managers to resolve queries and improve the information
input into the finance system.
* Assisting with group reporting and supporting all aspects of sales and purchase ledger and
producing reports on chargeable time monthly.
Local Availability
Only available in these countries:
United Kingdom
