Experience

• 

  Bank Leumi UK plc

  • London, United Kingdom

  • Vice President, Head of Customer Lifecycle Management

    • Jul 2018 - Present
    • London, United Kingdom

    Head of Customer Lifecycle Management Working in the First Line of Defence responsible for the AML/KYC obligations of customers from the on-boarding process through the lifecycle of the customer.

• 

  Duff & Phelps, Compliance and Regulatory Consulting Practice

  • London, United Kingdom

  • Regulatory Consultant

    • Aug 2014 - Jun 2018
    • London, United Kingdom

    As part of this role, I have undertaken operational and regulatory due diligence reviews on regulated entities across the financial services sector including asset managers, broker-dealers, fund administrators and wealth managers. These reviews have included:Regulatory jurisdictional reviewsNomad ReviewsAML / KYC policy and procedure reviewsBest execution reviewsFrom May 2016 to date, I have been seconded to an international bank performing a full AML/KYC remediation of its entire client base across the following sectors: private clients, commercial, commodities, hotel, media and property. The client base has included individuals, trusts, UK companies, onshore companies, offshore companies, charities and partnerships. This has involved liaising with the key stakeholders within the bank (Relationship Managers across the different desks, Business Heads, Risk and Control, the MLRO and Legal).

• 

  Rothschild Bank

  • Switzerland

  • Director, Operations Service Manager

    • Apr 2012 - Jul 2013
    • Switzerland

    Operations Service ManagerSingle point of contact for cross-departmental service Issues – point of escalation, investigation and resolution; effective coordination & communication of business issues across Swiss and UK platforms; single point of contact between business users and IT in Switzerland and the UK; coordination of ad-hoc business requests / initiatives; end-to-end review, documentation and improvement of cross- departmental processes

• 

  Merrill Lynch Bank Suisse

  • Vice President, Regional Client Services Manager, Switzerland

    • Oct 2010 - Feb 2012

    Managing a team of 48 employees who provided day to day support to private bankers based in Switzerland and global branch offices. Member of the Swiss bank's Operating & Risk Management Committee

  • Vice President, Merrill Lynch Regional Service Network & Client Data Manager

    • Jul 2009 - Oct 2010

    Managing Regional Service Network Team comprised of 16 employees responsible for providing client service support to over 700 Financial Advisors based in global branch offices. Managing Client Data Management Team comprised of 9 employees responsible for account opening and maintenance process.

  • Vice President, Merrill Lynch Asset Services Manager

    • Oct 2005 - Jun 2009

    Manager of 25 employees covering Corporate Actions, Securities Pricing & Set Up, Securities Transfers, Account Opening & Maintenance, Tax Reporting and Mailing teams.

• 

  UBS

  • Zurich, Switzerland

  • Director, Group Internal Audit - Wealth Management and Business Banking

    • Oct 2005 - Jul 2006
    • Zurich, Switzerland

    Auditor covering audits in Switzerland, France and Monaco.

• 

  Goldman Sachs Bank, Switzerland

  • United States
  • Financial Services
  • 700 & Above Employee

  • Vice President, Operations Manager

    • Dec 2004 - Sep 2005

    Operations Manager covering Client Reporting, Asset Servicing, Treasury Operations & Client margin & collateral monitoring and Swiss equities middle office functions

  • Associate Director

    • Dec 2002 - Dec 2004

    Responsible for Asset Servicing and Client Reporting (including tax reporting) for Swiss private clients

  • Asset Services Manager

    • Sep 2001 - Dec 2002

    Responsible for Asset Servicing functions

  • Analyst

    • Nov 1997 - Aug 2001

    Responsible for daily monitoring of 75 high net worth accounts, relationship management with external custodian banks in Europe, day-to-day running of the team

• 

  BAii Asset Management

  • London, United Kingdom

  • Portfolio Administrator

    • Aug 1996 - Nov 1997
    • London, United Kingdom

• 

  HSBC Private Bank

  • London, United Kingdom

  • British Bank of the Middle East (HSBC)

    • Jan 1995 - May 1996
    • London, United Kingdom