Senior Associate
DCM
Total years of experience :6 years, 0 Months
Senior financial Crime Associate responsible for end-to-end KYC on-boarding and remediation for High-Risk/EDD retail clients
for a Bank of London & Middle East. Key escalation point of contact for EDD client profile coverage and providing advisory on
clients with a Digital Asset portfolio.
Key Responsibilities
• Identification and mitigation of AML/Reputational risks for retail clients through extensive and enhanced KYC processes and
procedures combined with SME knowledge.
• Management of end-to-end management, on-boarding and periodic life-cycle file reviews in-line with internal and regulatory KYC/AML
policies and procedures.
• Implementation of CDD and EDD for client on-boarding in line with internal policies and local regulatory legislations.
• Senior Associate responsibilities to manage team and projects for successful turnaround of High-Risk KYC remediation.
• SME for use of intelligent screening tools (Orbis, World Check and Onfido) for the mitigation of Sanctions/Pep/Tax Avoidance and
Adverse Media Risk.
Senior KYC Associate at Delta Capita responsible for delivering end-to-end remediation of ING Luxembourg and ING
Netherlands EDD portfolio for corporate and investment banking clients. Key escalation point of contact for EDD client profile
coverage and providing advisory on Luxembourg AML/CFT regulations.
Key Responsibilities
• Responsible for the Identification and mitigation of AML/Reputational risks within client portfolios through extensive and enhanced
KYC processes and procedures combined with SME knowledge.
• Management of end-to-end management periodic life-cycle file reviews in-line with internal and regulatory KYC/AML policies and
procedures.
• Implementation of CDD and EDD for corporate client on-boarding in line with internal policies and local regulatory legislations.
• Senior Associate responsibilities to manage team and projects for successful turnaround of High-Risk KYC remediation.
• SME for use of intelligent screening tools (Orbis, World Check) for the mitigation of Sanctions/Pep/Tax Avoidance and Adverse Media
Risk.
• Proposing and drafting practical and innovative solutions to make current Delta Capita procedures and process flows more efficient.
• Gap Analysis responsibilities of information provided by High-Risk clients to ensure provided details are in line with Luxembourg
AML/CFT regulations and requirements.
• Key point of contact for support related to
Risk & Compliance Officer - Financial Crime
Client due diligence officer with key focus on ensuring that client relationships are onboarded, maintained, and monitored in line with Regulatory
Standards, Group Policy, and industry best practice.
Key Responsibilities
• Experience in identifying and mitigating AML-related risk associated with corporate clients.
• Responsible for performing CDD/EDD on ME/HVSB corporate clients, screening (sanctions/peps/adverse media) utilising external
tools such as LexisNexis (Norkom), quality assurance on client due diligence documentation in line with regulations and internal
policies.
• Escalations completed to the MLRO function for Onboarding, Screening for PEPs/Adverse Media and Sanctions when required.
• Advisory to the first- and second-line functions on AML/Sanctions/Adverse media mitigation.
• Prospective Client and 3rd Party due diligence (money laundering) in line with global regulations, policies, and guidance.
• Lead for Suspicious Activity Reporting (SARs) to the group MLRO for onward reporting to the jurisdictional FIU.
• Stakeholder management through guidance on governance, regulatory expectations, and internal requirements from a
CDD/AML/Sanctions perspective.
• Performance of periodic reviews on CDD profiles of the ME/HVSB portfolio.
SME at Deutsche Bank responsible successful adaptation and rollout of control tools for end-to-end risk management and
oversight of Financial Crime activities including KYC/CDD, Transaction Monitoring, Fraud and Sanctions. Key point of
escalation for Drafting and maintenance/upkeep of Internal Policy including SARs reporting procedures, KYC Policy and Fraud
Escalation Procedures.
Key Responsibilities
• SME of regulatory compliance and end-to-end management of periodic file reviews in-line with internal and regulatory KYC/AML
policies and procedures.
• Successful remediation of commercial banking portfolio, implementation of controls to mitigate financial crime risk for leasing and
cash management products.
• Conduit between the first and second lines of defense in conducting transactional activity reviews (L1 reviews) and provision of
guidance to transaction monitoring pillar on testing of system rules pertinent to client coverage.
• Implementation of CDD and EDD for corporate on-boarding in line with global banking regulations.
• Project and team management for successful adaptation and rollout of intelligent screening tools (Orbis) for the mitigation of
Sanctions/Pep/Tax Avoidance risk.
• Onboarding and end-to-end management of corporates with complex structures (trusts & foundations).
• Support on transformation projects required for uplift to CDD/AML & KYC process frameworks.
• Client Outreach management, successful completion & syndication of client data (CDD/KYC).
• Sole responsibility for managing client portfolios in line with compliance policies; ensuring that all aspects of delivery are running
effectively and key point of escalations for issues (FCC risk assessment and escalation to MLRO function).
• Key project delivery for successful KYC remediation 2018-19 exercise at Deutsche Bank.
• Delivery of global 3rd party systems to streamline the KYC process at Deutsche Bank AG which inspired efficiency.
• Proposing and drafting practical and innovative policies in collaboration with key stakeholders and control groups (such as Legal and
Compliance).
• Key point of contact for escalations in relation to On-boarding, Screening for PEPs/Adverse Media & Sanctions via the use of external
Screening tools such as LexisNexis (Norkom) and World Check One.