Compliance Specialist

• May 2021 - Present

General Responsibilities • Compliance Monitoring in relation to NZX Rules, AML/CFT and FSLAA, and FMCA • Creating and delivering Compliance training for new and current staff • NZX reporting and managing sign-off of monthly controls checklists • Assisting in reporting to the internal Risk Management Forum and other committees • Identify, assess, and report breaches of regulations and internal policy • Managing day to day Compliance queries raised by the business • Ongoing revision of the Risk and Compliance Policy and Procedure manuals • AML tasks: Transaction Monitoring, client KYC checks, PEP screening • Assisting Senior Compliance Manager and Head of Legal in their liaison with Regulators Key highlights: • Writing and implementing a new Transaction Monitoring procedure • Writing and developing a Compliance Training Strategy • Drafting the External Account procedure for the Compliance Manual • Maintain the Internal Control Checklist (NZX) and updating the relevant procedures • Uplifting the Compliance Induction content (including AML training) • Restructuring of the Quarterly System Access monitoring task Key Outcomes: • Gained an understanding of procedure development and stakeholder communication • Gained autonomy as well as collaborative skills • Developed a deep understanding of Compliance Monitoring Show less

KYC/AML Analyst

• Jan 2019 - Aug 2020

(UK/EU) KYC/AML Ongoing Client Due Diligence reviews in Corporate and Institutional Banking. Self-managed project work as well as team collaboration for onboarding and OCDD. Managing and reporting. (UK/EU) KYC/AML Ongoing Client Due Diligence reviews in Corporate and Institutional Banking. Self-managed project work as well as team collaboration for onboarding and OCDD. Managing and reporting.

KYC Analyst

• May 2016 - Aug 2018

Complex Entity KYC: -AML compliance for on-boarding Complex entities. -Meeting Identity Verification document requirements -Beneficial Ownership determination -FATCA/CTS compliance Supply Chain Finance: -On-boarding/updating individual and organization profiles part of a large Australian Co-operative to AML 3 standards -Meeting Supply Chain Finance legal document regulation -CTS/FATCA compliance Financial Crime Operations: -Enhanced due diligence for High-Risk customer -Uplifting to AML 3 -Behavioral analysis of customers (by telephone) -Continuous Improvement of processes and procedures -Training and development of the wider team Show less

Freelance Writing and Editing

• Jun 2014 - Jul 2018

CV and Cover letter Editing for peers Article Writing and ghost-writing Academic Editing and proofreading CV and Cover letter Editing for peers Article Writing and ghost-writing Academic Editing and proofreading

Customer Experience Associate

• Apr 2015 - Feb 2016

Customer Services and Solutions

• Jan 2013 - Mar 2015