If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.

To view other CV's please click here.

00298567

PROFILE:

Regulatory compliance and Financial Crime professional with a proven track record of ensuring adherence to industry regulations and implementing effective compliance programs. Skilled at analysing regulatory changes and adjusting company policies to maintain compliance standards. Dedicated to upholding the highest standards of compliance to drive organizational success.

EDUCATION:

• 2025: CISI Diploma in Investment Compliance, Ongoing
• 2024: CISI: Combating Financial Crime
• 2023: CISI: Introduction to Securities & Investment (International)
• 2023: CISI: UK Regulation & Professional Integrity
• 2019: Association accounting technician (AAT) BPP
• 2009: Bachelor of economics: business, University 2004-2009

CAREER HISTORY:

January 2020 – April 2025

Banking

Compliance Officer

Reporting directly to the Head of Regulatory Compliance, my responsibilities encompass a wide range of Compliance and regulatory tasks, ensuring adherence to industry standards and fostering operational efficiency. Key duties include:

Regulatory Compliance:

• Assisting Senior Compliance Analyst in reviewing, updating and maintaining Regulatory Compliance policies and procedures to align with evolving industry standards
• Maintaining internal Compliance registers such as Conflicts of Interest Register, Gifts & Hospitality log and related documentation
• Assisting Senior Compliance Analyst in Conducting regulatory Horizon scanning to proactively identify and address regulatory changes in the financial landscape
• Support the implementation of Consumer Duty requirements, ensuring the bank meets its obligations to customers
• Prepare and submit periodic FCA filings: via Regdata (Quarterly/Annually such as Complaints and Payment Fraud return), ensuring accuracy and timeliness
• Support the SMCR requirements by ensuring all controlled function individuals receive regulatory approval before commencing duties and facilitating the annual staff certification process
• Assisting in preparation of training material relevant to key regulatory updates, delivering Compliance Induction training
• Performed regular record-keeping tasks; maintained high levels of organizational efficiency
• Developed strong relationships with regulators and external audit firms, facilitated smooth audit processes. Responded to control, audit and regulatory requests within established timelines

Financial Crime:

• Preparing accurate MI for Financial crime team, acting as a Financial Crime Committee Secretary, responsible for collating data, narrating the meeting and drafting meeting Minutes. Tracking action items and members attendance. Assisting in maintaining and updating the firm’s Governance committee Terms of Reference.
• Monitor and action incoming Sanctions Lists and maintain records (OFSI, OFAC)
• Assisting in conducting sanctions, PEPs, and adverse media screening on customers and counterparties using World Check One screening system
• Assisting in carrying out open-source intelligence on customers and counterparties, reviewing publicly available information to prevent/mitigate AML, CTF , sanctions, negative news and bribery and corruption risks
• Assisting in monitoring high-risk customers in line with internal policies, procedures, and regulatory requirements
• E-comms program; Review all corporate email and chats flagged up as per the GHIB E-comms program (Bloomberg terminal)

January 2020 – October 2020

Banking

Compliance Coordinator

Reporting directly to MLRO my responsibilities encompass a wide range of compliance tasks, fostering operational efficiency and timeliness. Key duties include:

• Monitor and manage the departmental mailbox, ensuring all compliance escalations are assigned, logged, and tracked for timely resolution.
• Compile Management Information (MI) reports for the Compliance Department to facilitate decision-making and regulatory reporting.
• Assisting in organizing training programs for employees on compliance matters, including anti-money laundering (AML), data protection, and ethics. Oversee the training log to track training completion and ensure that all staff are up-to-date with required training sessions.
• Support MLRO and Head of Compliance in the collation and submission of documents required for review under Section 166.
• Assist with ad hoc projects and tasks as they arise, contributing to various compliance initiatives and organizational improvements.

January 2016 – January 2020

Travel Media and Publishing Sector

Office/ Accounts Assistant

November 2013 – December 2014

Health and Social Sector

Finance assistant

ACHIEVEMENTS:

• Developed a semi-automated Management Information (MI) reporting process, which led to a 50% reduction in reporting time while increasing accuracy. This improvement facilitated timely decision-making for Senior management and enhanced overall operational efficiency.
• As a Compliance Analyst, I spearheaded the automation of Fraud Payment return submissions, collaborating with IT to cut reporting time from 5 days to 5 hours while improving data accuracy.

References Available Upon Request

If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.

To view other CV's please click here.