FINANCIAL CRIME QUALITY ASSURANCE MANAGER

KEY ACHIEVEMENTS

* Providing expert technical guidance on matters related to customer due diligence (CDD) and
anti-money laundering (AML) compliance. I have in depth knowledge in relation to onboarding
processes, policies, and files to ensure that they are compliant with relevant regulations and
best practices
* Conducting risk assessments and developing risk management frameworks to mitigate financial
crime risks. Familiarity with policy development and implementation, including creating and
updating policies and procedures to align with regulatory requirements and industry best
practices.
* Strong understanding of banking systems including CRM, Core Banking, research and workflow
tools, and a good knowledge of relevant banking regulations and compliance guidelines, to work
with each in-scope area across the business to ensure that key processes and key risk controls
are reviewed regularly, ensuring they meet with the agree standards when dealing with complex
cases
* Excellent knowledge of Corporate and Commercial banking products, services, policies, and
procedures, including online banking systems
* Relevant Financial Services sector experience including a competent understanding of AML
policies and procedures including Onboarding, Sanctions, Bribery, Corruption and Transaction
Monitoring used to address financial crime risk
* Proven experience in Onboarding, Compliance Monitoring or Internal Audit role providing design
and operating effectiveness assurance over financial crime risk management in a banking
environment.
* Experience providing in depth knowledge over the Financial Crime Risk Management Systems and
Controls, including their adequacy and effectiveness both at a framework and individual control
level.
* Collaborating with colleagues to assess whether FC Risks are adequately identified, assessed
and managed.
* Implementing Transaction Monitoring & Cash Controls workstream focusing on ensuring the
accuracy, completeness, and validity of financial transactions.
* Identifying issues or improvements and advising Senior Management through high quality,
impactful reports
* Conduct detailed quality assurance reviews on work undertaken by other team members. -
identifying errors and providing detailed reworks
CAREER & ACHIEVEMENTS TO DATE

KEY ACHIEVEMENTS

* Consulting and banking environments, where I have gained practical knowledge of onboarding
processes and the challenges associated with implementing effective CDD/AML programs. This
experience enabled me to provide practical advice on how to improve processes and policies to
enhance compliance.
* Worked closely with compliance teams, risk managers, and other stakeholders to identify areas
for improvement and to develop and implement solutions to address identified issues. keeping
up-to-date with changes to relevant regulations and to provide guidance on how to adapt processes
and policies to meet new requirements.
* Taking a leading role in dealing with tricky and complex financial crime supervision issues,
dealing directly with senior management at regulated firms, as well as colleagues from across the
FCA and partner agencies
* Work closely with management on the delivery of the wider compliance and business framework and
be able to identify improvements to current processes and work closely with other stakeholders to
implement changes
* Identify opportunities for improving and refining data quality, reducing 'noise' and false
positives reported and to be integral part global projects to embed new Anti-Money Laundering
(AML) and future controls
* Act as primary liaison for audit reviews in addition to addressing any relevant
observations/findings. To work with stakeholders to escalate and agree on any risk tolerance and
develop strategy and framework to manage risks
* Reviewing Corporate Banking client files in line with CDD requirements, AML, and sanctions
standards.
* Provide guidance, input, and showcase a detailed plan of what is required to bring the
onboarding processes in line with market standards.
* Manage the implementation of financial crime in compliance with the banks UK policy and
applicable external laws and regulations, to prevent money laundering, breaches of sanctions and
terrorism financing and bribery and corruption within the aligned business unit
* Experience of the full account opening and, or KYC refresh, life cycle including form filling,
direct client liaison, gathering information and documentary evidence to satisfy KYC, due
diligence and other regulatory requirements, data entry and full application submission, through
to the issuance of account details once opened
CAREER & ACHIEVEMENTS TO DATE

KEY ACHIEVEMENTS

* Acting as the supporting subject matter expert in the 2nd line of defence and a point of
contact for the 1st line of defence functions on all financial crime matters (AML; CTF; ABC;
Sanctions and Tax Evasion), including advising the business on how to interpret and implement
Financial Crime Policies and Procedures and submitting exceptions to policy to the second line
Compliance and Legal Department.
* Experience in providing guidance as part of the wider financial crime plan, providing timely
assurance opinions over the Financial Crime Risk Management Systems and Controls, including their
adequacy and effectiveness both at a framework and individual control level
* The identification and assessment of compliance risk, and the development and oversight of an
appropriate framework to ensure the management of compliance risk.
* Framework will include assessing the adequacy of the measures adopted by the business to
prevent non-compliance including monitoring to ensure these procedures are being adhered to.
* Ensure that the firm's Compliance Strategy is in line with its broader strategic objectives.
Working with the business to assess new opportunities and ensuring appropriate control frameworks
are established;
key part of Compliance Strategy will be to oversee the company's Conduct Risk framework and
associated policies and procedure in conjunction with management and the business;
* Work with business owners and management, or support Senior Assurance Manager to agree on
appropriate action plans, ensure that they understand the issues and their ownership of
compliance
* Write reports which include presentation of results, the rationale for findings, risks posed,
and action required to address the risks. These should be presented in a timely manner.
* Apply strong analytical reasoning skills to risk-rate outcomes and determine the level of
impact of issues identified.
* Examine policies, procedures, and practices to ensure compliance with laws and regulations and
implement any needed changes.
* Evaluate the scope and testing approach of key controls to ensure they are fit for purpose and
in accordance with established department standards