Total Years of Experience: 13 Years, 4 Months
January 2014
To Present
MLRO & Deputy Compliance Officer
at confidential
Location :
United Arab Emirates - Dubai
Currently working for a Category 4 DFSA regulated firm, reporting directly to the SEO & Board of Directors. My responsibilities include:
* Ensuring compliance to the DFSA regulations.
* Proper and effective implementation of the Compliance Monitoring Program (CMP).
* Timely management reporting.
* Staying informed on all regulatory matters.
* Leading discussions on AML/CTF and Compliance issues during regulatory meetings.
* Ensuring effective implementation of the AML & Sanctions Screening program.
* Developing Compliance & AML/CTF training programs for staff
* Ensuring compliance to the DFSA regulations.
* Proper and effective implementation of the Compliance Monitoring Program (CMP).
* Timely management reporting.
* Staying informed on all regulatory matters.
* Leading discussions on AML/CTF and Compliance issues during regulatory meetings.
* Ensuring effective implementation of the AML & Sanctions Screening program.
* Developing Compliance & AML/CTF training programs for staff
April 2011
To December 2013
Compliance Officer
at Alfalah Exchange Company - Head Office, Abu Dhabi, UAE
Location :
United Arab Emirates - Abu Dhabi
Operating from the Head Office, my responsibilities include:
• Developing, reviewing and updating policies and procedures related to AML & KYC.
• Ensuring compliance of Alfalah Exchange Company's AML/KYC policy at all levels of the organization.
• Ensuring the compliance of the Central Bank of the UAE’s regulations.
• Responding to all inquiries and/or investigations from the Central Bank.
• Monitoring and analyzing transactions for possible ML/TF and reporting suspicious transactions to the Central Bank.
• Daily remittance uploads onto the Central Bank’s online server.
• Liaison with the internal, external auditors and Central Bank auditors for AML/KYC audits.
• Liaison with Correspondent Banks for completing annual AML/KYC documentation and handling all compliance inquiries.
• Providing Customer Due Diligence advisory and conducting enhanced due diligence whenever necessary.
• To ensure timely renewal of all AML/KYC certificates.
• Liaison with all compliance inquiries/investigations raised by the FERG.
• Provide support and guidance to branches on AML/KYC issues.
• Preparing, arranging and conducting regular AML/KYC trainings for Managers and staff members.
• Providing guidance to branches on AML/Compliance issues.
• Advocating a Risk Based Approach and ensuring
compliance to the same.
• Developing, reviewing and updating policies and procedures related to AML & KYC.
• Ensuring compliance of Alfalah Exchange Company's AML/KYC policy at all levels of the organization.
• Ensuring the compliance of the Central Bank of the UAE’s regulations.
• Responding to all inquiries and/or investigations from the Central Bank.
• Monitoring and analyzing transactions for possible ML/TF and reporting suspicious transactions to the Central Bank.
• Daily remittance uploads onto the Central Bank’s online server.
• Liaison with the internal, external auditors and Central Bank auditors for AML/KYC audits.
• Liaison with Correspondent Banks for completing annual AML/KYC documentation and handling all compliance inquiries.
• Providing Customer Due Diligence advisory and conducting enhanced due diligence whenever necessary.
• To ensure timely renewal of all AML/KYC certificates.
• Liaison with all compliance inquiries/investigations raised by the FERG.
• Provide support and guidance to branches on AML/KYC issues.
• Preparing, arranging and conducting regular AML/KYC trainings for Managers and staff members.
• Providing guidance to branches on AML/Compliance issues.
• Advocating a Risk Based Approach and ensuring
compliance to the same.
May 2010
To July 2010
Internee
at Trust Investment Bank (Islamabad, Pakistan).
Location :
Other
Tasks assigned were mostly back-office work, including verification of client records, maintaining correspondence with clients, maintaining petty cash records, also accompanied Branch Manager in meetings with clients for deposits.
June 2007
To July 2007
Summer Trainee
at Union National Bank
Location :
Other
Training was mentoring based. Worked with Managers of Operations, Treasury and Credit Administration Departments for hands-on experience in day to day work. Trained at Central Processing, Treasury Settlements and Capital Market Departments and later in the Credit Administration Division, thereby gaining knowledge in Clearing, Collection, Remittances, setting up of Credit Limits and Documentation.
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