Experience

Edwin Coe LLP

• United Kingdom
• Law Practice
• 100 - 200 Employee

• Head of Risk and Compliance

  • Mar 2021 - Present

  Monitoring & maintaining compliance with all statutory and professional obligations including the SRA Regulations and Codes of Conduct, Money Laundering Regulations, Economic Crime Acts, International Sanctions Legislation, Bribery Acts, Criminal Finances Act and the Data Protection Acts. • Reporting to the COLP, COFA and MLRO. • Liaison between the business and the Solicitors Regulation Authority including taking the lead in thematic reviews and investigations. • Working with HM Treasury and OFSI in relation to Economic Sanctions reporting. • Reporting suspicious activity and liaising with the NCA. • Ensuring the firm’s risk policies and procedures are appropriate, kept up to date and that horizon scanning is undertaken and recommendations for improvement made. • Undertaking the annual PI Insurance renewal including liaising with insurance brokers and undertaking interviews with insurer syndicates. • Providing training to the business on all areas of risk. • Complex conflicts analysis and advice. • Data Compliance Officer reporting to the ICO and nominated Insurance Distribution Officer. • Owner of the Business Continuity Plan to ensure minimal downtime of the business in the event of infrastructure, technical or viral disruption, regular testing of the plan and reporting to Management Committee. • Chair of the Risk Committee, ensuring that the firm’s risks are identified, controlled / mitigated, and monitored effectively including managing and owner of the Risk Register. • Undertaking the annual review of the firm’s AML compliance, reporting to the partnership and the SRA. • Managing and mentoring a team of Compliance Information Security and Compliance Officers. Show less



Cripps

• United Kingdom
• Law Practice
• 300 - 400 Employee

• Risk & Compliance Manager

  • Aug 2018 - Jan 2021

  Managing & maintaining compliance with all statutory and professional obligations including the SRA Regulations and Codes of Conduct, Money Laundering Regulations, International Sanctions Legislation, Bribery Acts, Criminal Finances Act, DAC6 and the Data Protection Acts. • Reporting to the COFA, COLP & MLRO • Data Compliance Officer reporting to the ICO and nominated Insurance Distribution Officer. • Member of the Business Continuity Committee planning for any level of disruption to the business. • Receiving reports or concerns regarding suspicious activities, consulting with the MLRO as to the filing of SARs with the liaising with the NCA. • Ensuring the firm’s Risk policies and procedures are appropriate and kept up to date and that horizon scanning is undertaken and recommendations for improvement made. • Chair of the Operational Risk Committee, ensuring that the firm’s operational risks are identified, controlled / mitigated, and monitored effectively including managing and maintaining the Operational Risk Register. • Escalation point for complex conflicts of interest issues and making decisions as to whether the firm can act for parties and/or whether ethical walls can be used. • Information security & cyber security risk officer, liaising with the CIO to ensure our systems are not susceptible to cyber-attack or data loss. Liaising with our cyber insurers to ensure maintenance of a strong network. • Training staff on financial crime issues, data protection and privacy, conflicts of interest, client confidentiality and cyber security. • Leading the firm’s continuing accreditation quality management systems CQS, WIQS, Cyber Essentials and ISO9001. Show less



Visa

• United States
• IT Services and IT Consulting
• 700 & Above Employee

• Anti-Money Laundering Lead

  • Mar 2017 - May 2018

  Leading, managing and implementing the delivery of regulatory compliance and enforcement across the Visa network in Europe for Anti-Money Laundering/Anti-Terrorist Financing and Sanctions consistent with Visa's Global AML/ATF & Sanctions Policies and Procedures. • Working in conjunction with the global AML team to align, design and develop new effective and efficient AML requirements including processes, procedures and training programs.• Directly reporting to the Director of Regulatory Compliance and CRO Europe with a dotted line to the BSA officer in the US. Reporting of AML operational issues to the Europe Risk Committee.• Providing subject matter expertise, training and outreach to the business units in Europe in order to continually educate staff on AML/ATF and Sanctions risks whilst promoting and embedding a culture of compliance across Visa.• Developing and maintaining effective relationships at all levels between the Europe AML team and other stakeholders within Visa Europe where AML or Sanctions risks have been identified and providing SME guidance in relation to new products being developed by Visa.• Leading Visa’s Sanctions advisory to the European business units and working with the Global Sanction team in relation to the self-reporting of any sanction breach or the obtaining of any license from the relevant sanctioning authorities. • Undertaking reporting of AML SARs to relevant Financial Intelligence Units in Europe.• Lead/manage onsite client reviews conducted by Visa and/or by third parties as part of enhanced due diligence activities and administer non-compliance measures under the Scheme.• Proactively identify and evaluate emerging regulatory trends and laws in the markets of operation and report comparative measures to global based on the Global Policies and Procedures.• Support internal audits and regulatory requests, ensure satisfactory resolution of any audit findings and recommendations. Show less

• AML Manager

  • Jun 2015 - Mar 2017

  AML compliance subject matter expert to Visa Europe, directly reporting to the Director of Regulatory Compliance and MLRO in relation to all AML risks within Visa Europe. Advising the business in relation to all areas of anti-money laundering and counter terrorist financing. • Designed and implemented AML/ATF policy and control frameworks and implementing change management. • Conducting member AML/KYC on-boarding and monitoring reviews, registering inherent country risk and risks surrounding politically exposed persons and attending the Risk Committee for reporting and escalations.• Devising and monitoring the sanctions program including screening members, suppliers and contracting parties against OFAC and EU databases. Show less



Travers Smith

• United Kingdom
• Law Practice
• 700 & Above Employee

• Systems Manager - Brand

  • Feb 2015 - May 2015

  Managing the firm's CRM database, e-marketing platform, website and intranet sites including liaising with the web developers in relation to the brand designs and advising in relation to historical web design issues. • Recruiting and interviewing candidates for the System Manager role. Managing the firm's CRM database, e-marketing platform, website and intranet sites including liaising with the web developers in relation to the brand designs and advising in relation to historical web design issues. • Recruiting and interviewing candidates for the System Manager role.



Intapp

• United States
• Software Development
• 700 & Above Employee

• Principal Consultant

  • Jan 2014 - Feb 2015

  Leading the implementation of Intapp risk-related solutions including, Intapp Open (New Business Intake, Conflicts) including educating clients on industry best practices in the context of Intapp’s solution offering, conducting workshops to review business process and guide definition of modified/new business processes in the context of the proposed solution, provide analysis of client needs and implementation recommendations, preparing and delivering a solution design based on the outcome of the workshops and analysis, designing workflow, forms and integrations with third party systems in conjunction with the risk team and solution engineers, installing and carrying out training on the software platform, working closely with project technical resources, in particular the Solution Architect, to translate customer requirements for driving product evolution. Show less



Travers Smith

• United Kingdom
• Law Practice
• 700 & Above Employee

• AML Risk Manager

  • Jan 2003 - Jan 2014

  Subject matter expert on the requirements of the Money Laundering Regulations 2003, 2007, the Proceeds of Crime Act 2002, Bribery Act and the Law Society's Practice Note on AML (and other industry guidance), JMLSG guidelines and FCA guidance. Supporting and advising partners, fee earners and staff of all levels relating to the interpretation of relevant legislation, regulation and firm policies pertaining to anti-money laundering, anti-bribery and sanctions and on other regulatory compliance matters.• Designing and documenting the client on-boarding and monitoring processes and procedures. • On-boarding clients, gathering of required Client Due Diligence (CDD) documentation, Anti-Money Laundering (AML) CDD analysis, financial and reputational risk analysis, sanctions checking and conflict analysis and training of staff in AML rules and risk management policies.• Assisting the MLRO in reporting of suspicions to NCA and regulatory authorities, assisting the COLP with the gathering of risk data. Maintaining records of suspicion reports for the MLRO and liaising with NCA where appropriate to ensure swift resolution of consent issues. Show less

• Customer Relationship Management Manager

  • Jan 2003 - Jan 2012

• Court Clerk

  • Dec 1986 - Jan 2003



Hillearys

• Court Clerk

  • Aug 1984 - Dec 1986