Richard Blakemore
Compliance Analyst at ANNA Money- Claim this Profile
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Bio
Credentials
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Investment Advice Qualification
Securities Institute
Experience
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ANNA Money
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United Kingdom
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Financial Services
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100 - 200 Employee
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Compliance Analyst
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Jan 2022 - Present
*Undertaking CDD/KYB/KYC reviews to onboard new customers in a timely manner *Performing KYB reviews whilst applying a risk-based approach to assess financial crime risks *Analysing transactions to identify risks, trends and suspicious activity *Reviewing customer files in line with CDD/KYB requirements, ensuring source of wealth, reason for opening the account and expected transactions are recorded and evidenced *Managing complex investigations of international payments and trigger events, involving designated high-risk jurisdictions to identify potential money laundering or other financial crimes, conducting enhanced due diligence (EDD) when required *Conducting comprehensive and robust quality checking on the work completed by Analysts within the Compliance Team Show less
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Morgan Stanley
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United States
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Financial Services
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700 & Above Employee
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Operations specialist Analyst
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Apr 2021 - Jan 2022
*Responsible for delegated client reporting; ranging from general enquires on service, on-boarding, reporting submission and regulatory queries from clients and Business Unit partners *Coordinating across multiple stakeholders such as Technology, Client Relationship Managers, Trade Support Groups and Compliance, to undertake the appropriate remediation steps to resolve reporting issues *Monitor transaction reports and exceptions and ensuring that product areas are actively resolving outstanding trade exceptions on a daily basis *Be responsible for the accurate and timely reporting of trades across multiple jurisdictions; highlighting, analysing and remediating regulatory reporting issues Show less
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Barclays UK
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United Kingdom
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Banking
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700 & Above Employee
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Service Delivery Oversight Analyst
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Apr 2020 - Apr 2021
*Monitoring internal SLAs with the business which include developing and reviewing prudent segregation regimes for Client Asset Sourcebook (CASS) related entities *Client servicing - incorporating complaints & quality assurance of call centre performance *Responsible for stock and cash reconciliations including break reporting *Preparing monthly regulatory reporting Client Money & Asset Return (CMAR) for CASS regulated business entities *Actioning client money requirements including stock shortfalls, unapplied client money, diversification, CASS RP support *Providing up to date Operational MI to aid commercial business decisions *Producing daily, weekly and monthly reports to internal customers, including Finance and the Senior Management team Show less
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Clydesdale & Yorkshire Banking Group
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Glasgow, United Kingdom
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Data Gatherer
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Dec 2019 - Feb 2020
Part of Virgin Money UK PLC, the UK's sixth largest bank. *Research, collect and present relevant customer complaint data, using in-house systems to log and allocate cases *Ensure the complaint handling process is complete and sufficient data has been gathered to ensure full investigation can be completed *Gather information to meet deadlines and quality standards whilst maintaining customer outcomes; *Liaise with clients through written correspondence *Process figures, carry out analysis and produce reports *Liaise with the investigations team and senior managers Show less
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Jaja Finance
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United Kingdom
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Financial Services
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100 - 200 Employee
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Senior Customer Services & Operations Executive
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Aug 2018 - Aug 2019
Fintech start-up in the consumer digital mobile credit card start-up – reporting to the COO *Managed fraud prevention activity and collaborated on payments monitoring of AML / CTF / fraud - logged and reported incidents, working with compliance to address high risk clients. Aided timely identification of risks and development of efficient controls *Responsible for ensuring the highest levels of customer service and communications within a regulatory compliant framework that ensures minimum fraud incidents *Responsible for ensuring staff awareness and organisational compliance with anti-money laundering and counter terrorist policy, process and procedures - enhanced financial crime compliance and UK regulatory standards *Achieved customer satisfaction rating of 95% and exceeded KPIs, by implementing improvements to the CRM system *Instrumental in successfully launching the core product and customer service function *Delivered processes and procedures to efficiently manage activity within a crime control prevention framework. *Responsible for collating feedback on errors, bugs and improvements and recommending prioritisation of improvements to deliver maximum customer satisfaction Show less
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Open Banking
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United Kingdom
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Financial Services
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1 - 100 Employee
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Client On-boarding/Service Desk Analyst
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Jan 2017 - Jan 2018
*Instrumental in developing Open Banking’s external functionality, systems and infrastructure for public and financial institutions enquiries; on-boarding procedures for FCA regulated entities and managed processing and resolution of all issues and requests, within agreed SLAs *Responsible for the KYC (Know Your Customer) on-boarding processes, due diligence and regulatory permissions *Created and delivered ‘How To’ system manuals, regulated standards of service within agreed SLAs *Delivered clarity on Open Banking to stakeholders across retail finance landscape and established strong client relationships; issued guidance and acted as first point of contact for enquiries, service requests and incident reporting *Responsible for training colleagues and new joiners on open banking systems and processes *Exceeded on-boarding participation targets by 150% Show less
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Barclaycard
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United Kingdom
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Financial Services
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700 & Above Employee
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Senior Underwriter
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Apr 2010 - Dec 2016
*Gathered and analysed information to aid the credit eligibility assessment for possible high-risk customers, in order to maximise onboarding rates but reduce risk *Utilised third party data sources such as World Check, Cifas and Experian to help identify Politically Exposed Persons (PEP) and manage financial, regulatory and reputational risk *Developed new processes and updated existing procedures to ensure compliance with bank policy; identified and resolved affordability system errors and ensured customers were not unfairly declined *Assisted with the transfer of the underwriting business from Glasgow to Cardiff - Contributed to the training and coaching of colleagues and new starters *First point of contact for Area Sales Managers, retailers and customers regarding submitted and processed credit applications Show less
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BNY Mellon
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United States
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Financial Services
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700 & Above Employee
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Senior Customer Service Representative
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May 2008 - Mar 2010
*First point of contact for custody related queries - responsible for accurate and timely processing of client cash and stock trading activity and issue resolution *Identified and resolved anomalies through systematic data review; scrutinised monthly MIS reports and conducted regular client service review meetings to exchange information and insights to address ongoing issues *Helped clients achieve full contextual visibility and awareness of custody matters; maintained up to date knowledge of regulatory and market affairs and established regular client communication updates Show less
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Brown Brothers Harriman
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United States
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Financial Services
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700 & Above Employee
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Trade Execution Officer, Associate
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Aug 2007 - May 2008
*Improved efficiency of execution process; monitored and analysed client trading activity; reviewed volume, commissions, queries and failing trades. *Responsible for investigating failed trades, achieving a high percentage of resolutions *Responsible for a reduction in risk and errors, facilitated trade execution and issue resolution by optimising communications *Actioned trading instructions within agreed timeframes, accelerated response times and prioritised pending issues *Developed strong network of external traders and brokers. Show less
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Citi
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United States
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Financial Services
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700 & Above Employee
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Client Service Officer
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Jan 2005 - Aug 2007
*Acted as sole contact point to resolve Custody related queries and issues within Service Level Agreements. *Assured timely settlement of clients’ cash and stock trading activity through ongoing monitoring and communication; built strong relationships with internal operational teams to foster efficient liaison. *Organised and attended monthly service review meetings with clients, followed up to successful resolution *Participated in ongoing risk reduction activities; identified and escalated risk topics and recurring issues; systematically performed reviews of accounts under management, assessed performance and areas of concern. Show less
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