Maria Mickiewicz-Niegowska

Head Of Compliance at Aleph Finance
  • Claim this Profile
Contact Information
us****@****om
(386) 825-5501
Location
PL
Languages
  • English Professional working proficiency
  • Russian Native or bilingual proficiency
  • Turkish Professional working proficiency
  • Polish Native or bilingual proficiency
  • French Limited working proficiency

Topline Score

Topline score feature will be out soon.

Bio

Generated by
Topline AI

5.0

/5.0
/ Based on 1 ratings
  • (1)
  • (0)
  • (0)
  • (0)
  • (0)

Filter reviews by:

Eugeniusz Manczenko, ICA

Maria is a highly qualified and experienced player who has more than 7 years of professional experience in business banking services (AML, KYC, EDD, Compliance frameworks). She is a subject matter expert in KYC and AML regulations. Maria is the open minded person with excellent analytical and personal skills. We’d worked together in one department that’s why I know that she is a reliable team player who is always full of enthusiasm and energy, perfectly achieving goals, we collaborated for success in many projects. I can definitely recommend her and believe that she can bring added value to any team or the international environment.

You need to have a working account to view this content.
Join now
You need to have a working account to view this content.
Join now

Credentials

  • ICA International Diploma in Governance Risk and Compliance (level 6 out of 7)
    International Compliance Association
    Aug, 2022
    - Nov, 2024
  • LCS- level 1A Certificate of Lean Competency
    Cardiff University
  • License of city guide (Warsaw)
    Urzad Marszalkowski Wojewodztwa Mazowieckiego w Warszawie
  • License of tour leader
    Urzad Marszalkowski Wojewodztwa Mazowieckiego w Warszawie

Experience

  • Aleph Finance
    • United Kingdom
    • Capital Markets
    • 1 - 100 Employee
    • Head Of Compliance
      • Sep 2017 - Present

      • FCA authorisation – Compliance Oversight (CMF16): (Reference number MXM04260) • FCA authorisation – Compliance Role (CF10) (till December 2019) • First point of contact with Regulator (FCA) • Execution of daily compliance tasks: management of risk issues, regulatory reporting, etc • Collaboration with risk and management functions across the company to ensure regulatory and firm’s requirements are fulfilled • Development and monitoring of all required procedures, processes, projects and reports • General oversight and control over firm’s documentation and contracts • Development of the required manuals • Oversight of the on-boarding process for new customers, appointed representatives, and other related counterparties (depository banks, custodians, brokers) • Oversight of KYC process for customers and related counterparties

  • Impakt Kapital Services Limited - IKS
    • Ireland
    • Financial Services
    • 1 - 100 Employee
    • Head of Compliance and Chief Risk Officer
      • Aug 2020 - Oct 2022

      • Central Bank of Ireland Authorization for the roles: Head of Compliance (PCF-12) and Chief Risk Officer (PCF-14) (Central Bank of Ireland individual reference number P20021) Head of Compliance: • Implementing and managing a risk-based compliance monitoring program • Driving a Compliance culture and the Compliance Agenda • Ensuring prudent control • Overseeing licensing requirements and regulatory obligations for the business and PCF role holders, liaising with the regulator and other appropriate authorities as required • Maintaining appropriate written procedures to ensure compliance with applicable legislation, regulations, and group policies, and to monitor adherence to such procedures • Monitoring and advising on local and global regulatory developments and on their potential impact and implementing wide risk and compliance initiatives • Monitoring compliance with regulatory requirements applicable to discrete activities for which the firm is authorized (regulated) to promote the best interests of clients and the wider market • Ensuring that the CBI Fitness and Probity Regime requirements are adhered to by PCF staff • Acting as a point of contact with the Central Bank of Ireland on compliance matters • Continued review and implementation of the Compliance Programme • Reporting and communicating to the Board Chief Risk Officer: • Ensuring that the firm has strategies in place to assess and maintain on an ongoing basis to enable the firm to identify, measure and manage the sources of risk • Implementing appropriate controls and frameworks to mitigate Risk across the business and provide regular and accurate Risk Reports to the Board in accordance with the Risk Monitoring Framework • Ensuring that Risk management processes are embedded in the culture, operations, and systems used by all employees, driving and exemplifying adherence to agreed policies, procedures, and applicable regulations.

  • Pairstech CM Ltd (UK)
    • London, United Kingdom/ Warsaw, Poland
    • Project Manager and assistant Compliance officer
      • Mar 2017 - Sep 2017

       Administrative and supporting functions across different companies of the Pairstech group  Onboarding process for private individuals, tied agents, appointed representatives and other related counterparties (Depositary, Custodian banks and Brokers)  Execution of KYC process for clients and related counterparties  Management and development of CRM activities  Collaboration with Risk and Compliance functions to ensure regulatory and firm requirements are fulfilled.  Support of Compliance officer in oversight and mitigation of risk issues, regulatory reporting  Development of the required procedure manuals  Filing Polish branch application, preparing and overviewing marketing material and Due Diligence

  • MoneyGram International
    • United States
    • Financial Services
    • 700 & Above Employee
    • Enhanced Consumer Due Diligence Specialist at Compliance department
      • Nov 2015 - Mar 2017

      Development and implementation of the initial Enhanced Consumer Due Diligence (ECDD) Pilot program  Providing oversight and advisory on all matters related to the execution of the Global ECDD Compliance Program by other business units within the organization  Process developer and subject matter expert on the Global Politically Exposed Person (PEP) screening program  Daily review, investigation, determination and monitoring of ECDD alerts from both a consumer risk ranking (potential fraud involvement) and Politically Exposed Person (PEP involvement) perspectives  Development of the department documentation: work instructions, procedures and training materials  Training and oversight of Transaction Due Diligence department Additional activities:  Support of the Sanctions Compliance Oversight team in alert investigation, funds seizure determination and regulatory (OFAC) report filing  Support of the US based Compliance team in update and maintenance of the company’s Internal Watch List

  • PwC Polska
    • Poland
    • Business Consulting and Services
    • 700 & Above Employee
    • Team Leader at Advisory department
      • Mar 2015 - Nov 2015

      (Project based work) Transaction Monitoring (TM) – look back exercise for the well-known financial institution  Preparation of TM training materials based on client procedures and policies  Delivery of TM training for analysts  Supervision of assigned team (12 analysts)  Work allocation within the team  Management of team’s performance and targets  As per client agreement – performance of TM cases (daily target for a team leader – 2 cases)  Working together with SME on project improvement initiatives KYC project for the well-known financial institution (finalized project 03.2015 – 05.2015)  Supervision of assigned team (10-15 people)  Providing analysts with KYC project based training  Work allocation within the team  Management of team’s performance and targets Out of projects additional tasks and responsibilities:  Being a coach responsible for development and promotion of 8 people within the department (outside of the project assigned team)  Preparation of case studies for recruitment process  Running recruitment process for analyst positions  Leading workshop for team leaders – role of a team leader within the organization (being responsible for training curriculum)  Preparation and implementation of onboarding training program for new joiners (AML, KYC, TM –depending on a project)

  • RBS
    • United Kingdom
    • Banking
    • 700 & Above Employee
    • Senior Analyst & internal Trainer at M&IB CDD Operations
      • Dec 2012 - Mar 2015

      Core activities: Quality check of finalized reviews Providing coaching and guidance to analysts Creation, preparation & conduction of AML trainings (within internal training team – for new joiners and experienced employees) Organization and conduction of calls with business partners Dealing with escalations from business partners Performance of team meetings/team huddles Team leader’s back upAdditional activities: Conduction of recruitment process (analyst position) Preparation of business reports/updates for managementAdditional (non-core) tasks and activities apart from the main duties: Waiver Log project coordination Workfloor tool – taking part in tool creationLean based activities: Wildfire - international competition – Department representative Game Changer - M&IB CDD Operations - Engagement Group – team member RCPS Champion – preparation and conduction of RCPS sessionsfor team members SOP representative – interdepartmental SOP group (Standard Operations Procedures) Coordination of YFB (your feedback) group - (leadership) Lean Champion (within the department), taking part in lean initiative assessment

    • AML Analyst at AML Operations Department
      • Jul 2010 - Dec 2012

      Core activities: Performance of Client Due diligence process Customer screening/checks Preparation and analysis of client reports Update of excel worklists

  • Alcatel-Lucent Enterprise
    • France
    • Telecommunications
    • 700 & Above Employee
    • International business customer analyst in Telecom Area
      • Aug 2008 - Oct 2009

       Customer technical support  Customer database creation/ maintenance/ update  Customer technical support  Customer database creation/ maintenance/ update

  • O2.pl Sp.z oo
    • Warszawa, woj. mazowieckie, Polska
    • Translator
      • 2008 - 2008

       Translations from Polish to Turkish and Russian  Translation project – translation of o2.pl e-mail box, communicator and supporting applications  Translations from Polish to Turkish and Russian  Translation project – translation of o2.pl e-mail box, communicator and supporting applications

  • D.T. Gas System Sp. Jawna
    • Lublin, woj. lubelskie, Polska
    • Translator
      • 2007 - 2008

       Translations and interpreting (from/to Polish, English, Russian, Turkish)  Translations and interpreting (from/to Polish, English, Russian, Turkish)

  • Krajowe Centrum Edukacyjne
    • Teacher of English Language
      • 2006 - 2007

       Teacher of English language  Translation of business documentation  Teacher of English language  Translation of business documentation

  • Yenigun Insaat San.ve Ticaret A.S.
    • Krasnoyarsk Territory, Russian Federation
    • Chief’s Assistant
      • 2006 - 2006

       Translation of technical documentation  Organisation of business meetings  Creation and management of databases  Clients & office service  Translation of technical documentation  Organisation of business meetings  Creation and management of databases  Clients & office service

Education

  • Uczelnia Łazarskiego w Warszawie
    Master of Laws - LLM, Law
    2020 -
  • Akademia Leona Koźmińskiego
    Management in Corporate Finance, Post Graduate Studies
    2017 - 2018
  • WARSAW UNIVERSITY
    Neophilological PHD Studies
    2008 - 2013
  • KRASNOYARSK STATE UNIVERSITY
    Master’s degree (interpreting and translation), Department of Modern Foreign Languages (English-Turkish)
    2001 - 2006

Community

You need to have a working account to view this content. Click here to join now