United Kingdom
I am an experienced Compliance Specialist. Currently employed at Emirates NBD LondonBranch. Previously employed at BNY Mellon working within the Markets Advisory team covering Securities Lending, Cash Collateral Investment, Collateral Management & Segregation and Liquidity Services. Responsibilities included providing regulatory advice to the business, input into projects, horizon scanning, committee membership, meeting and providing information to the regulators (FCA and PRA) and delivering face to face training sessions.
Advisory, Monitoring and Horizon Scanning
My responsibilities covered Securities Lending, Cash Collateral Investment, Collateral Management & Segregation, Liquidity Services and Custody/Clearance/Settlement for Broker Dealers. Role consisted of advising employees at all levels including senior management on regulatory issues, horizon scanning, meeting and communicating with the FCA and PRA, contributing to projects and committees and providing face to face updates and training.
My responsibilities included covering a variety of business areas including Custody, Collateral Services, Securities Lending, Corporate Treasury, Corporate Trust Services and Depositary Receipts.Responsibilities included providing regulatory advice to the business and senior management, input into projects, committee membership, face to face training sessions, responding to requests and meeting the UK regulators and meeting clients.
My responsibilities included both Advisory and Monitoring to a variety of businesses. Duties included providing advise to the businesses, monitoring reviews including visits to Pune, Frankfurt and Brussels, committee membership, providing specialised training and preparing for and attending meetings with the UK regulators. I was responsible for creating an annual risk based monitoring program.
Compliance Specialist
Joined as Senior PEP Administrator and transferred to a newly created role of Internal Control Officer reporting to the Compliance Officer.
Joined as Assistant Manager of the PEP department. Promoted to Manager in May 1995.