Experience

Plurimi

• United Kingdom
• Investment Management
• 1 - 100 Employee

• • Dec 2022 - Present

• • Dec 2021 - Present



Waystone Compliance Solutions

• Ireland
• Financial Services
• 1 - 100 Employee

• • Jul 2018 - Dec 2021

  I provide compliance and AML support services to our clients in the Dubai International Financial Centre, assisting with their day-to-day compliance requirements as well as supporting our consultancy team with the assessment of compliance arrangements, company formations and compliance projects. This includes undertaking client file reviews, onboarding and classifying clients, completing gap analysis, preparing and executing the remediation plans, and undertaking compliance monitoring programmes with detailed testing of a Firm’s systems and controls, identifying weakness and providing recommendations for remediation. I am a DFSA Authorised outsourced Compliance Officer and Money Laundering Reporting Officer (MLRO) for five firms within the DIFC including a DFSA Authorised Asset Management and a Wealth Management firm in the DIFC.My recent work includes:-Providing outsourced Compliance Officer and MLRO services for a DFSA authorised Crowdfunding Platform.-DIFC Incorporation for a FinTech firm.-Assisting an applicant with obtaining DFSA authorisation, including the provision of their Compliance Framework in-line with regulatory requirements.-Provided ongoing AML and compliance support including reviews of firms policies and procedures.-Implementing compliance monitoring programmes for several DFSA Authorised Firms including a firm with a FinTech Innovation Testing License. Show less

• • May 2017 - Jul 2018

  Consultancy firm specialising in Compliance, Risk and Governance. To date, the CCL Group globally has helped thousands of organisations with their regulatory compliance obligations.Key services include:• Regulatory Authorisation• Regulatory Interpretation, Analysis and Advice• Establishing a Regulatory Infrastructure• Compliance Documentation• Outsourcing• Financial Crime Prevention• Risk Management• Corporate Governance• Regulatory Training



Gallagher

• United States
• Insurance
• 700 & Above Employee

• • Jun 2016 - Apr 2017

  I provided cover for a colleague on maternity leave and worked within the Regulatory Team which is comprised of two people. My core responsibilities included: • Supporting the Regulatory Manager with all regulatory relevant correspondence and information.• Responding to FCA regulatory information requests to ensure consistency, accuracy and timeliness.• Provide assistance to the Compliance team in coordination, research and preparation of in-depth regulatory evaluation for the current business. • Handling and processing FCA Approved Person applications• Submitting accurate data and ensuring timeliness for RMAR regulatory reporting• Handling and processing FCA Appointed Representative approvals into internal spreadsheets• Compile and arrange information from the FCA, the Compliance team and business units to keep an organised log of all regulatory information and ensure compliance.• Keeping up the date with all relevant FCA news and any changes in regulatory legislation and guidelines Show less

• • Sep 2015 - Jun 2016

  I provided assistant support to the Risk and Compliance teams, comprising of 15 people in London and circa 25 in other offices reporting through to the Chief Risk & Compliance Officer, Chief Risk Officer and Chief Compliance Officer.My core responsibilities included: • Supporting the Chief Compliance Officer and Chief Risk Officer, and other London directors in the team• Creating documents and presentations• Arranging signature of TOBAs and agreements by board members• Handling and processing FCA Appointed Representative approvals into internal spreadsheets• Helping the team with charts and reports• Building relationships with key personnel• Providing ad hoc admin support to the team • Organising team events and away days Show less



CNA Hardy

• United Kingdom
• Insurance
• 300 - 400 Employee

• Underwriting Support

  • Jun 2014 - Sep 2014

  Working in the Operations Underwriting Support department within the insurance firm, CNA Hardy for three months in the summer and a month during the Christmas period I: • I had to directly support underwriters booking premiums via different types of coding sheets • I had to enter renewals, endorsements and new business quotations into the in-house underwriting system • Provided regular and full administrative support to an extremely busy department • Recorded, monitored and reported Cargo and Financial Line premiums • I also had to regularly report any problems within the database to help build up a reliable, working in-house system Show less