VP COORDINATOR KYC/AML
Deutsche Bank - United Arab Emirates
Total years of experience :9 years, 9 Months
Coordinator between Business, AFC and COB for 4 different DB entities (DIFC, DSS, Abu Dhabi and Qatar)
- Enhancement of the communication with outsourced COB team based in Ireland and solving problems in order to facilitate the KYC experience
-Identification of the full list of clients due for Period Review for the 4 DB entities
-Identification of all clients within the KYC scope for their onboarding and clean up of entities which are non KYC relevant
-Analyse KYC quality, process bottleneck and provide solution, expertise and process to smooth the process and make sure the bank is up to the market best practices standards
-Prioritisation of the list of new clients for onboarding among the 4DB entities; assignation of the files to the case managers, follow up with the due diligence officers in Dublin, prioritisation of the execution of the files and their 4 eyes
-First Point of contact for Quality Assurance teams; checks on findings, share information of the local specificities to ensure correct checks by non local teams; allocation to teams for correction and establishment of quality data for enhancement of their rating.
-Manager of 2 Case Managers; 1 to 1 meetings, set team targets for the week or by project, training on KOP and systems
-Enhancement of the PSM matrix (systems) designed to ensure products and DB entities remained up to date based on DB client relationship strategy
-Identification of list of clients for the CRS/IRS remediation; supervision of the outreach to clients, classification and reporting; classification of the DB entities relevant & irrelevant to tax eligibility
-Maintenance of the Business Continuity program
UAE & Qatar / Operations Expert -
-In charge of the report for all branches in the GCC regarding Overdue and BAU KYC - liaising with the head quarter in France.
-Managing a team of 6 DDOs across 2 countries; interview the candidates; organizing the team meetings and the 1-to-1 meeting; describing the objectives of the team;
-Controller of the Due Diligence Officers' KYC files: control of the quality, fulfilment of the regulators requirements, plus value added to the file, identify issues and provide solutions.
-In charge of the training (KYC, tools, best practices...), the control, the assignation of the files for the Due Diligence Officers in Dubai, Bahrain and Mumbai (FIC, Islamic Banking, UAE, North and West Africa including Egypt' clients),
-First point of escalation for the business, Compliance and the Due Diligence officers to provide clarifications; solutions to sort out any issues in a timely manner,
-Participate to the Client Management committee organized to identify the areas of improvement and to enhance the process - restructuring the team...
-First reference for FATCA/AEOI requests from business and co-workers.
Managing a team of 4 Due Diligence officers; interview the candidates; organizing the team meetings and the 1-to-1 meetings; describing the objectives of the team;
-Controller of the Due Diligence Officers' KYC files: control of the quality, fulfilment of the regulators requirements, plus value added to the file, identify issues and provide solutions.
-Active Participant to the Client Accept Committees for High Risk clients,
-In charge of the training (KYC, tools, best practices...), the control, the assignation of the files for the Due Diligence Officers in Dubai and Mumbai (FIC, Islamic Banking, UAE, North and West Africa including Egypt' clients),
-First point of escalation for the business, Compliance and the Due Diligence officers to provide clarifications; solutions to sort out any issues in a timely manner,
-Participate to the Client Management committee organize to identify the areas of improvement and to enhance the process
-In charge of drafting the SOP of the controller process for new joiners, the CAC agenda for all HR clients to be recertified by different territories at a time,
-First reference for FATCA requests from business and co-workers,
-First back up of the manager; provide reports for different meetings with top management
Due Diligence - Management -
_Managing the team with morning meeting, coaching the members of the team to get a consistency with high results of productivity and quality.
First point of escalation for the team to deal with the Business issues to shorten the delays.
First point of contact for Spain team due to my linguistic skills; business trips to Madrid to help the implementation of the new database, IT Tools use and CIB procedures.
In charge of Negative news assessment, control of the KYC Files, part of the Client Acceptance Committee for High risk clients.
Participation on Draft SOP, improvements of procedures, participate of several UAT testing and provide feedback to improve the systems.
Expert on Capital Markets, Corporate Baking and Cash Management Clients.
_Collect and Analyse of KYC, legal and financial documentation. Classification and Rating clients' risks. Opening accounts for clients Fixed Income/Derivatives Commodities. Work closely with Compliance Officer/ Business and DD teams around the world to find solutions in the Onboarding process (quality and accurate KYC needs).
_Organized meeting with Compliance to set up a process of Onboarding for Distributors and Introducers. Temporary process has been adopted while waiting for the new CIB Policy.
_Organized a meeting with Fixed Income RM to fix the issue of missing SBO for the remediation project. All the non-assigned accounts have been assigned to an SBO at this meeting. Same project has been launched for GECD, meeting with the head of GECD to highlight the issue and solutions have been found.
_ Responsible for performing Due Diligence checks related to the IIIrd European Directive on the Anti-Money Laundering on prospects (Fixed Income) and existing clients (Global Equity and Commodity Derivatives and Fixed Income).
_ Producing statistics and reports; Drafting internal review process (Distributors, Introducer, SBO reallocation...).
1 Private law, criminal sciences and Justice University of Aix-Marseille III -Drafting of a report of research: Sects: criminologist approaches
courses: Law University of PAU Certificate of criminal sciences University of PAU
(2 years
Master 1 Corporate law -Drafting of a report of research: Money-Laundering: Practices, Prevention and Repression
1 Corporate
2006.2007 Master 2 Prevention and Repression of the Financial Crime and the Organized Crime CETFI University of Aix –Marseille III -Drafting of a report (Banks in front of money laundering: the double game), three papers of research (Money laundering by the documentary credit, the counterfeiting of medicines: the modus operandi. The Italian tax regime) and a report of training course 2007-2008
Master 1 Private law, criminal sciences and Justice University of Aix-Marseille III -Drafting of a report of research: Sects: criminologist approaches
Bachelor Law University of PAU Certificate of criminal sciences University of PAU