Business and Process OptimisationRegulatory Change
A professional with 16 years of experience in insurance and finance management, communication, marketing and public relations. ACharteredAccountantandComplianceprofessionalwithover10yearsregulatoryandcompliance monitoringexperiencegainedwithinAssetManagement&InvestmentBankingenvironments.WithanunderstandingofComplianceMonitoringReviews,FinancialCrime&RegulatoryAdvisoryareasofthe financialservicessector. I have exceptionalattentiontodetailand amaccustomedtoreachingdeadlines. 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.
Risk ManagementDue DiligenceFinancial Analysis
Due DiligenceFinancial AnalysisRisk Management
freelance compliance consultant
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.
Reviewing and updating induction training
Checking accuracy of MIFID 11 transaction reporting
Compiling records for audits
Investigating gift and entertainment permissions approval
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
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.
Reviewing and updating Compliance Monitoring Plan
Reporting to legal/regulatory bodies
On-boarding clients and detecting financial crime
Reviewing and signing-off marketing collateral
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
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.
Assisted in providing information
Understanding regulatory regime
Assisted senior management
Monitored and inspected firms
Assisted in approval
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.
Interpretation and application of International Financial Crime Laws and Regulations
Providing regulatory advice
Checking monthly calculations
Conducting regular monitoring assessments
Implemented controls and systems
Trained staff on risk management
Developed reconciliation processes
Integrated new returns
risk & compliance officer
Investigated suspicious activity displayed by clients using the investment services. Maintained accurate and detailed compliance records.
Maintained accurate and detailed compliance records
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.
Accurate documentation of line of credit transactions
Analysis of monthly reporting
Reconciliation of accounts from income and expense data
Tracking and recording budget information
Successful documentation of line of credit transactions
Accurate monthly reporting analysis
Timely reconciliation of accounts
Efficient tracking and recording of budget information
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