Experience

Brevan Howard

• United Kingdom
• Investment Management
• 500 - 600 Employee

• Compliance Manager

  • Jun 2022 - Present

  Jersey - Develop and maintain compliance monitoring systems and controls (including policies and procedures) in line with evolving regulatory requirements and those of the Brevan Howard business; - Provide guidance on the proper application and interpretation of the regulatory requirements affecting Brevan Howard business; - Assist the Jersey Compliance Team to maintain its relationship with the JFSC, JFCU and with other regulators; - Act as MLRO and MLCO for the TCB business administering a… Show more - Develop and maintain compliance monitoring systems and controls (including policies and procedures) in line with evolving regulatory requirements and those of the Brevan Howard business; - Provide guidance on the proper application and interpretation of the regulatory requirements affecting Brevan Howard business; - Assist the Jersey Compliance Team to maintain its relationship with the JFSC, JFCU and with other regulators; - Act as MLRO and MLCO for the TCB business administering a number of Digital Assets investments, - Maintain and improve the Compliance Monitoring Programme to ensure that it is effective in managing operational and regulatory risks; - Provide reporting as required to the relevant Board of Directors, the Audit Committee and management meetings on regulatory and FCC matters; - Conduct thematic reviews and participate in the execution of ad hoc compliance projects; - Provide FCC and regulatory training to employees in Jersey. Show less



BNP Paribas Wealth Management

• France
• Banking
• 700 & Above Employee

• Compliance Manager and MLRO for BNP Paribas Jersey Trust Company

  • Feb 2020 - May 2022

  Jersey - Provided support and advice on financial crime, sanctions and AB&C relating issues and the potential legal, regulatory and reputational risks associated with the new and existing customers - Acted as the Money Laundering Reporting Officer to a busy team of trust and fiduciary services specialists serving high-net-worth individuals across the globe - Prepared and presented to the Board and RMC regular updates covering the external risk landscape and identifying emerging risks and raised… Show more - Provided support and advice on financial crime, sanctions and AB&C relating issues and the potential legal, regulatory and reputational risks associated with the new and existing customers - Acted as the Money Laundering Reporting Officer to a busy team of trust and fiduciary services specialists serving high-net-worth individuals across the globe - Prepared and presented to the Board and RMC regular updates covering the external risk landscape and identifying emerging risks and raised issues in respect of deficiencies in the AML / CFT and AB&C framework - Ensured that the Compliance Monitoring Plan is comprehensive and instigate corrective actions where applicable, reviewed and enhanced internal controls ensuring they align to the main risks identified in the Business Risk Assessment - Coordinated actions in relation to internal and external visits and inspections and responded promptly to the requests for information on compliance related matters made by JFSC or JFCU - Assisted the Territory Head of Compliance in various internal and external projects - Developed and delivered training to both junior and senior members of the client facing team Show less



HSBC

• United Kingdom
• Financial Services
• 700 & Above Employee

• CIIOM CMB Head of Financial Crime Compliance

  • Jan 2017 - Jan 2020

  Jersey, United Kingdom - Led a team of 2 to provide guidance and advice to the business supporting ca.10k commercial clients on all financial crime risk related matters - Challenged senior business management to take action on emerging risks as well as to ensure that they had sufficient resources to manage financial crime risks identified - Implemented Group AML, Sanctions and AB&C policies and procedures and identified gaps between local regulatory requirements - Voting member of the Client Selection & Exit… Show more - Led a team of 2 to provide guidance and advice to the business supporting ca.10k commercial clients on all financial crime risk related matters - Challenged senior business management to take action on emerging risks as well as to ensure that they had sufficient resources to manage financial crime risks identified - Implemented Group AML, Sanctions and AB&C policies and procedures and identified gaps between local regulatory requirements - Voting member of the Client Selection & Exit Management Committee, this included reviewing and providing advice on internal SAR investigations, ensuring that each customer is treated fairly, financial crime risks are sufficiently managed, and the business aligned to its “Grow Safely” agenda - Acted as the Money Laundering Compliance Officer (MLCO) for fund administration and custody businesses - Prepared and presented to the Board regular reports on effectiveness of internal policies, procedures and training

• Financial Crime Compliance Manager for CMB & GBM

  • Mar 2014 - Dec 2016

  Jersey, United Kingdom - Developed the highest compliance standards by following both the letter and the spirit of the relevant regulatory requirements and internal policies and procedures - Provided advice, guidance and policy interpretation relating to the prevention and detection of money laundering and counter terrorist financing and all aspects of FCC risk in accordance with local legislation in place and HSBC Group Policies and Principles - Acted as a conduit… Show more - Developed the highest compliance standards by following both the letter and the spirit of the relevant regulatory requirements and internal policies and procedures - Provided advice, guidance and policy interpretation relating to the prevention and detection of money laundering and counter terrorist financing and all aspects of FCC risk in accordance with local legislation in place and HSBC Group Policies and Principles - Acted as a conduit for the business perspective in the FCC team, interacting with business management team to provide data/information around FCC risk - Provided approvals for Higher Risk and Special Category Customers at on boarding and as part of the annual review process for existing customers - Provided input into an Annual Compliance Plan, Compliance Risk Assessment and Monitoring Plans



PwC Channel Islands

• Jersey
• Accounting
• 200 - 300 Employee

• Senior Tax Associate

  • Jun 2006 - Feb 2014

  Jersey, United Kingdom - Managed Reporting Funds Regime compliance for large, diversified portfolio of offshore funds (ca. 50 funds) - Performed reviews of Fund Prospectuses, Private Placement Memorandums and communication to shareholders and advised in respect of changes to the offshore funds regime and transitional provisions for distributing funds - Performed reviews of UK Non Resident Landlord Tax Returns and UK Trust and Estate Tax Returns for Jersey Property Unit Trusts. - Performed reviews of tax… Show more - Managed Reporting Funds Regime compliance for large, diversified portfolio of offshore funds (ca. 50 funds) - Performed reviews of Fund Prospectuses, Private Placement Memorandums and communication to shareholders and advised in respect of changes to the offshore funds regime and transitional provisions for distributing funds - Performed reviews of UK Non Resident Landlord Tax Returns and UK Trust and Estate Tax Returns for Jersey Property Unit Trusts. - Performed reviews of tax accounts, deferred tax calculations, proof of tax and tax notes to be included in the financial statements - Participated in FATCA advisory and compliance projects - Performed Customer Due Diligence reviews in respect of acquisitions and takeovers - Prepared Jersey income tax returns for private clients including expats of multinational financial institutions (ca. 200 clients) Show less



Secondment to HSBC Global Service Delivery Centre

• Remediation Team Leader / QA Lead

  • Jan 2012 - Dec 2012

  Kraków Area, Poland - Led, motivated and assisted a team of 12 in facilitating greater efficiency and timely production of high quality CDD profiles for a large remediation project spanning across a number of time zones. This included obtaining the relevant CDD on large private equity funds, hedge funds and fund and funds. - Planed for effective utilization of resources to help with delivery of a whole CDD remediation project within agreed time and budget - Responsible for production and distribution of the… Show more - Led, motivated and assisted a team of 12 in facilitating greater efficiency and timely production of high quality CDD profiles for a large remediation project spanning across a number of time zones. This included obtaining the relevant CDD on large private equity funds, hedge funds and fund and funds. - Planed for effective utilization of resources to help with delivery of a whole CDD remediation project within agreed time and budget - Responsible for production and distribution of the relevant management information Show less