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

00351714

PROFILE:

AML / KYC Risk Advisor with solid experience in analysing, reporting, advising, training and process improvement in risk and quality control (QC). Strong problem-solving skills with proven attention to detail and accuracy. Perceived as a result focused team player who has always been recognised for successfully supporting stakeholders on AML / KYC issues within Wholesale KYC Operations Business.

SKILLS:

AML/KYC Compliance | Risk Advisory & Management | Due Diligence Quality Control | Regulatory

Compliance | Process Improvement | Training & Development | Cross-Functional Leadership | Stakeholder Management | Client Coverage Management | Team Supervision & Training | Root Cause Analysis | Relationship Building | Attention to Detail | Drive for Results | Teamwork |Continuous Learning

CAREER HISTORY:

October 2020 - April 2024

Banking

KYC Risk Advisory

Responsible for conducting risk assessment checks, providing Financial Crime Training to different audiences across the globe on different subjects when required either on procedural changes or identified weaknesses and advising on high-risk clients, with a specific focus on areas such as Wolfsberg Questionnaire, AML Events, Sanctions, Adverse Media, PEPs and SOW.

Achievements:

• Developed specialised expertise in high-risk client assessment, including in Wolfsberg Questionnaire and AML Call Reports, ensuring thorough risk mitigation measures and resulting in enhanced compliance and security measures for the whole KYC process.
• Provided invaluable advisory support to the Middle Office on high-risk client profiles, enhancing risk management practices within the organization.
• Strengthened compliance measures by identifying and addressing potential areas of concern in AML Risk Summaries, significantly enhancing the organization's risk management framework delivering consistent training across the globe.
• Ensured regulatory compliance by successfully reviewing and enhancing Politically Exposed Persons (PEP) information and Source of Wealth (SoW), with a particular focus on UK High Risk PEPs.
• Played a pivotal role in compliance exception request approvals, meticulously reviewing specific risky points such as sanctions, AML events, and Negative Media, among others, enhancing regulatory adherence.
• Provided ad hoc SME support across various areas, contributing to comprehensive risk management strategies and fostering knowledge sharing within the organization.
• Delivered impactful training sessions on subjects like the Wolfsberg Questionnaire to regions like
• LATAM, empowering teams with essential knowledge and skills to navigate regulatory requirements effectively.

August 2014 - October 2020

Banking

Due Diligence/ KYC Specialist & team lead

Responsible for identifying and monitoring quality controls (QC)/processes in the end-to-end Wholesale KYC Onboarding (WKO). Process for new and existing business and remediation efforts.

Achievements:

• Successfully led the Foreign Correspondent Bank (FCB) remediation project, achieving high standards of compliance with the latest UK regulations.
• Managed a small team within TS LOB QC members, establishing and updating key performance
• indicators (KPIs) for onboarding processes, resulting in enhanced performance monitoring and issue resolution.
• Ensured adherence to WKO CDD Standards by meticulously reviewing CDD cases submitted by analysts to the QC team.
• Evaluated the end-to-end process and implemented strategies to cultivate a zero-defect culture, driving continuous improvement initiatives.
• Provided expert advice on AML/KYC during onboarding activities, conducted reviews of AML/KYC
• activities, identified data quality issues, and implemented resolution measures.
• Conducted root cause analysis, identifying solutions and best practices to optimise KYC QC activities for new and existing business, and multiple remediation efforts.
• Spearheaded knowledge management for KYC policy, developed procedures and training materials, and provided certifications to onboarding teams.
• Ensured accuracy and regulatory compliance of KYC policies and procedures, fostering strong working relationships with various stakeholders including Operations, Audit, Compliance, and Technology.
• Monitored the impact of industry changes and infrastructure enhancements, assisting in identifying requirements for new WCOB Platform.
• Developed and delivered training on various elements of KYC to stakeholders and new joiners across different regions, enhancing organisational expertise and compliance.
• Provided comprehensive support to TS internal clients on KYC matters for various entity types,
• including Foreign Correspondent Banks in MENA region, EMEA, and LATAM.
• Recognised as a top performer consistently, earning recognition from TS LOB as QC representative and appointed as a QC trainer in specific subjects within the CDD process.
• Appointed as Subject Matter Expert (SME) in several elements of KYC including UK Local Due Diligence, Account Due Diligence, and AML call reports, showcasing exceptional expertise in the field.
• Gained extensive management experience as a Team Leader, overseeing and driving performance excellence within the team.

December 2013 - August 2014

Banking

CDD ASSOCIATE - CLIENT COVERAGE MANAGEMENT

March 2013 - November 2013

Banking

DATA QUALITY CONTROL SUPERVISOR

November 2011 - February 2013

Banking

OPERATIONS SUPPORT ANALYST

May 2010 - November 2011

Investment Bank

SENIOR KYC ANALYST

March - May 2010

Banking

KYC ADMINISTRATOR

December 2007 - November 2009

Banking

KYC ANALYST AND SALES SUPPORT

EDUCATION:

• ICA Diploma in Anti Money Laundering and CTF - Diploma in AML and CTF ICA
• University: Introduction to Translation Skills (English to Portuguese Written Translation Course)
• Diploma In Translation Course (English to Portuguese Written Translation Course)
• College: Cambridge Proficiency in English Course
• College: Methodology and Professional Development 2002 (English Language Teaching Course)
• University: Degree in Business Administration and Marketing

TECHNICAL SKILLS:

• Microsoft Office Package (Excel, Word, PowerPoint, Access and Outlook)

LANGUAGES

• Fluent in English, Portuguese, Spanish and Italian

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.

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