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EA
EA-CA-34896
Specialist Read more about levels here
Change Analyst Pound Rate: £685
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Industries
Financial Services Financial Services
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Business and Process Optimisation Business and Process Optimisation Regulatory Change Regulatory Change
About me

A professional with 16 years of experience in insurance and finance management, communication, marketing and public relations. A Chartered Accountant and Compliance professional with over 10 years regulatory and compliance monitoring experience gained within Asset Management & Investment Banking environments. With an understanding of Compliance Monitoring Reviews, Financial Crime & Regulatory Advisory areas of the financial services sector. I have exceptional attention to detail and am accustomed to reaching deadlines. I have a proven track record of success in these areas and am committed to delivering results. I am a team player and have excellent interpersonal and problem-solving skills.

Superpowers
Risk Management Due Diligence Financial Analysis
Skills
Due DiligenceFinancial AnalysisRisk Management
Experience
Jul, 2021
Feb, 2023
freelance compliance consultant
Financial ServicesFinancial Services
Expert Consultancy Services
Provided specialist compliance consultancy services to Barclays Bank, Union Bancure Privee, and Santander Plc. Verified information and compiled records for audits, updated induction training, and checked the accuracy of MIFID 11 transaction reporting. Assisted with gift and entertainment permissions approval.
Key responsibilities Key responsibilities
  • Reviewing and updating induction training
  • Checking accuracy of MIFID 11 transaction reporting
  • Compiling records for audits
  • Investigating gift and entertainment permissions approval
Key achievements Key achievements
  • Facilitated smooth and complete reviews for London branch of Union Bancure Privee
  • Verified information with cross-checking of different accounts and documentation
  • Successfully updated Barclays Bank induction training
  • Ensured all compliance forms were signed
Jan, 2016
Jun, 2021
compliance consultant
Financial ServicesFinancial Services
Wealth Management Firm
Provided compliance advice and support to a wealth management firm. Assisted in the implementation of the Compliance Monitoring Plan, reporting requirements, COREP calculations, and adherence to MiFID, Conduct of Business and Market Abuse regulations. Monitored reviews and assisted with changes to procedures, on-boarding new clients, and detecting financial crime. Reviewed and signed-off marketing collateral against FCA Financial Promotion rules.
Key responsibilities Key responsibilities
  • Reviewing and updating Compliance Monitoring Plan
  • Reporting to legal/regulatory bodies
  • On-boarding clients and detecting financial crime
  • Reviewing and signing-off marketing collateral
Key achievements Key achievements
  • Implemented Compliance Monitoring Plan
  • Assisted with CASS RP and Client Money Acknowledgement Letters
  • Provided management with strategic decisions and governance
  • Alerted management to findings and urgent matters
May, 2015
Dec, 2015
assistant manager
Financial ServicesFinancial Services
Regulatory Compliance
Completed an apprenticeship in Monitoring & Inspection units and has a strong understanding of the regulatory regime and the operation of the Financial Conduct Authority. They assisted in the provision of information to monitor, inspect, and supervise firms under the FCA, and prepared reports to assist senior management in the approval of firms.
Key responsibilities Key responsibilities
  • Assisted in providing information
  • Understanding regulatory regime
  • Prepared reports
  • Assisted senior management
Key achievements Key achievements
  • Completed apprenticeship
  • Monitored and inspected firms
  • Provided information
  • Assisted in approval
Jan, 2014
Apr, 2015
compliance consultant
Financial Compliance
Provided expert advice on international financial crime laws and regulations. Assisted with the maintenance of risk management documentation and conducted regular monitoring assessments. Implemented controls and systems to meet CASS and COLL requirements. Trained staff on risk management concepts and developed reconciliation processes and sign off procedures. Assisted with ICAAP and AIRB reporting projects and integrated new returns into existing regulatory data.
Key responsibilities Key responsibilities
  • Interpretation and application of International Financial Crime Laws and Regulations
  • Providing regulatory advice
  • Checking monthly calculations
  • Conducting regular monitoring assessments
Key achievements Key achievements
  • Implemented controls and systems
  • Trained staff on risk management
  • Developed reconciliation processes
  • Integrated new returns
Oct, 2008
Dec, 2013
risk & compliance officer
Investigated suspicious activity displayed by clients using the investment services. Maintained accurate and detailed compliance records.
Key responsibilities Key responsibilities
  • Maintained accurate and detailed compliance records
Jun, 2007
Sep, 2008
fund accountant
Financial ServicesFinancial Services
Financial services provider
A Fund Accountant with experience in Capita financial group, providing accurate documentation and analysis of line of credit transactions, reconciling accounts from income and expense data to net worth and assets, and tracking and recording budget information.
Key responsibilities Key responsibilities
  • Accurate documentation of line of credit transactions
  • Analysis of monthly reporting
  • Reconciliation of accounts from income and expense data
  • Tracking and recording budget information
Key achievements Key achievements
  • Successful documentation of line of credit transactions
  • Accurate monthly reporting analysis
  • Timely reconciliation of accounts
  • Efficient tracking and recording of budget information