United Kingdom
An experienced, competent and motivated senior compliance consultant professional with global organisations including Tier 1 global investment banks, law firms and central government department. Experienced and motivated dual English and Australian qualified solicitor (with 8 years+ PQE) with wide and varied breadth of experience in Compliance, Financial Crimes, Risk, KYC / AML in corporate & investment banking compliance, commercial litigation, white collar crime / fraud, bribery and corruption, insolvency and investigative work in the financial services, private and public sectors. A pro-active, positive and effective team player who provides constructive value added contribution towards team's goals, stakeholder management, manage external teams / delivery partners, drive accountability / deliverables and land projects within deadlines. I provide services to corporate & investment banking in the following areas: • global project management and target operating model design and implementation • remediation projects, procedure and process enhancements • IT systems delivery • financial crime risk mitigation • global remediation and renewal KYC / AML project for top tier investment bank • customer on-boarding • S166 (Skilled Person) review work • compliance procedures review • complaint handling & root cause analysis • new business review • process & policy design • QA function • analysing/understanding UK and overseas corporate structures • FCA Handbook: COBS, DISP, BIPRU • conduct risk I'm available immediately for new opportunities and am look to expand and gain further financial services experience and networking opportunities.
- Vendor relationship management - Enterprise product SME and systems deployment specialist - Transformation / change management specialist
- Global project management in Compliance / Financial Crime Risk Transformation function - Enterprise systems delivery working with IT, analytics, data scientists, product owner, business and end users to deliver fraud transaction monitoring system (SAS EFM) - Target operating model and process enhancements under Deferred Prosecution Agreement with US Regulator
Global Remediation and Renewals Team - completing to new global standards the KYC / AML records of J.P. Morgan CIB global comprehensive client population including high risk foreign correspondent banks, central banks, government, insurance, funds / SPVs, investment / portfolio managers and multi-national corporate groups / conglomerates.
Commercial Banking Complaints, Disputes and Litigation - Interest Rate Hedging Products and Fixed Rate Loans Outcome and Delivery Team • Responsible for the outcome delivery process on mis-selling complaints received from Commercial Banking professional and sophisticated customers about Interest Rate Hedging Products and Fixed Rate Loans • Preparation and drafting of standstill agreements • Preparation of final responses to conduct complaints • Information Requests, DSAR, and pre-action discovery • Other BAU complaints, DISP and queries
Past business review project (FCA Section 166 Skilled Person review work), financial regulation, interest rate hedging products / derivatives, regulatory compliance, KYC / AML, records company structure analysis, financial risk and control, report writing • Assisted Lloyds in completing its large scale review of historic sales of interest rate hedging products. • Sophistication Analyst: case file reviews to determine if the customer was 'sophisticated' or 'non-sophisticated' at time of sale. This included analysing the customer's historic financial accounts to establish its financial position and its ultimate beneficial owner(s). The customers included sole traders, partnerships, LLPs and UK and overseas incorporated entities and SPVs (Luxembourg, Channel Islands, British Virgin Islands, Marshall Islands and Bermuda).
Corporate Crime and Corruption Team • High profile international bribery and corruption internal investigations of global companies conducted by U.S, UK and international anti-trust / anti-competitive regulators