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Summary
An accomplished analytical thinker and passionate problem solver who has the
ability to read and interpret complex regulations and then make accurate
operational decisions regarding them. I have a long track record of evaluating
compliance issues within an organization and then taking appropriate action to
improve operational performance. I have the skills and abilities necessary to
develop and implement policies, procedures, and programs that will ensure
compliance with existing regulations and best practices. On a personal level, I’m
proactive, motivated, and have a high level of customer service orientation.
Experience
Compliance officer
Monitors all operational processes and procedures using a compliance
management system to ensure that the company complies with all legal
regulations.
Design and Implement AML/CFT compliance programs.
Developing and implementing AML/CFT training programs.
Day-to-day compliance of the business against ML/FT policies & Procedures.
Risk management, Risk Register, Risk controls and implementations in TMS
accordingly.
Manage Compliance programe in preparation of Quarterly, Bi- Annual, and
other Compliance reports.
Validating on-boarding reviews with comprehension of an Organization\'s strict
guideline that includes KYC & CID/CDD/EDD.
Coordinating with various business units to support and obtain the necessary
AML and categorization documents, doing periodic reviews, and, CDD/EDD
remediation.
Liaising with relevant business units on KYC, PEPs, EDD, SARs, and
Financial Crime.
AML Transaction Monitoring to identify the suspicious pattern and customer
behavior (iSTR/STR/SAR)/(GoAML).
Carrying out investigations to discover the roots of any instances of noncompliance.
Filling in forms (ERFs), Monthly Reporting, IEMS, and submitting these to the
regulatory body.
Monitoring and testing compliance systems to ensure their effectiveness.
Preparing sanction screening policy, procedures, and quality review tests.
Quality reviews conducted on alert dispositions.
