Experience

CREDO

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Compliance Associate

  • Jan 2019 - Present

  At Credo Wealth I'm a key member of the Compliance team, being the first point for compliance queries (including AML referrals). The activities performed are: •compliance monitoring across the firm’s activities and business, in accordance with both regulatory and internal standards; •regular quality reviews across all areas of the business, including analysis, communication, resolution process and record retention; •case reviews (AML, PEP, Fraud, Market Abuse, etc.); •enhanced due diligence and monitoring processes, including risk assessments; •activity reviews and identifying associated trends; • ongoing maintenance of Compliance rules; •complaints handling; •training. Show less

• Compliance Assistant

  • Jan 2017 - Dec 2018

  Credo is a wealth management firm based in London with over five thousand clients account under its administration. In my role, I review CDD and KYC for clients, assist relationship managers with completion of compliance related documents in relation to their clients, monthly assessor score reviews, follow up on daily compliance queries, stock restriction, review of client classification, account opening sign off, ensure that company is in accordance with the FCA requirements.

• Client Services

  • Jan 2015 - Dec 2016

  In my role, I provide customer services to client regarding their accounts and assistance to relationship managers regarding any queries they may have.Roles and Responsibilities:Manage a hectic email inbox and fulfill client and relationship manager’s ad-hoc requests. All within a set deadline.Ensure clients satisfaction.Collate due diligence documentation and application forms to open individual, corporate, trust and SIPP accounts and enhanced due diligence for high risk jurisdictions.Update of static data on internal CRM system. Process requests of account closure, deceased cases and allocation of funds. Attend requests of withdrawal payments and stock transfer instructions. Liaise daily with the settlements team to monitor amendments to the data, transfers and valuations.Review KYC Update forms from existing clients, amend information where necessaryGood understand of Unit Trust, SIPP, ISA.Act as a liaison between compliance, RM’s, operations and legal departments. Show less



Vivo Transfer

• London, United Kingdom

• Compliance/ Client Services - Assistant Manager

  • Nov 2011 - Dec 2014

  Vivo Transfer is a regulated company that offers money transfer services. In my role I dealt directly with client’s funds remittances and ensured the company's practices complied with FCA regulations and guidelines. Roles and Responsibilities: General office management duties. Set-up of new client’s account. Database control - maintenance of client information to ensure details are up-to-date and accurate. KYC, ensure policy practice and AML regulation. Due Diligence and source of funds documents. Ensure the company's practices comply with FCA regulations and guidelines. Show less