Experience

Maples Group

• Cayman Islands
• Financial Services
• 700 & Above Employee

• Senior Administrator

  • Jan 2019 - Present

  Providing administrative support to the Director Services team Providing administrative support to the Director Services team



International Financial Data Services (IFDS)

• United States
• Information Technology & Services
• 500 - 600 Employee

• CRS Remediation Senior Associate

  • Jun 2017 - Sep 2017

  Working on the CRS due diligence for low value clients project Working on the CRS due diligence for low value clients project



Invesco Ltd.

• United States
• Financial Services
• 700 & Above Employee

• AML Officer

  • Aug 2016 - Jun 2017



BNP Paribas

• France
• Banking
• 700 & Above Employee

• AML Analyst

  • Feb 2016 - Aug 2016

  Currently working on an AML Remediation Project for Investors subscribed into funds that are Administered by BNP Paribas. Currently working on an AML Remediation Project for Investors subscribed into funds that are Administered by BNP Paribas.



Bank of America Merrill Lynch

• KYC/Refresh

  • Oct 2013 - Feb 2016

  o Mentoring new starters regarding systems, procedures and work-flow. Guidance to the team members of the offshore team in India and completion of tasks initiated offshore that must be completed onshore, i.e.: account closures, high risk entities. o Liaising between the offshore team and management for regular and ad hoc updates. o Conducting KYC/AML checks on all kind of entities worldwide, including non regulated entities, high risk jurisdictions and correspondent banking. o Collecting and review of documentation: share registers, articles of incorporation, partnership agreements, PAC, Wolfsberg Questionnaire, etc. o Verification of legal status and regulation: financial regulators, government databases, register of companies, D&B, MINT, CPL and Bloomberg. o Strict adherence to specific regional KYC/AML requirements and US sanctions lists. Screening entities, directors, shareholders and escalating PEP. o Liaising with the account managers and other departments to request official documentation and/or escalated any issues to Global Compliance. Show less



Citi

• United States
• Financial Services
• 700 & Above Employee

• POL Admin

  • Mar 2012 - Jun 2012

  • Processing address changes, broker changes client contact details. • Preparing daily instructions reports and end of day reports. • Processing fund switches and redirections. • Preparing commission payments to ensure the broker receives there commission payments. • Processing the Personal Portfolio Payments ensure this is done in the correct manner so the clients receives there monies. • Answering client queries regarding the Hansard on line website ensuring the clients are able to enter the site correctly. • Processing regular withdrawal requests. Show less



Daiwa Capital Markets America Inc.

• United States
• Financial Services
• 300 - 400 Employee

• AML

  • Sep 2005 - Jun 2008

  Working as part of a team in order to advise the shareholder services department on documentation needed in order to deem new investors Receiving Application forms from the Shareholder Services Department for New Investors into the various funds, updating the system and assigning to other members of the team. Contacting the Investor to advise as to the documentation required to verify the investor’s identity to carry out the standard AML checks. Following up with Investor to ensure that they send in all required Original Documents. Dealing with various queries from the Investor, Investment Checking the Documents received from Investor to ensure that they are correct and are all correct. Updating systems to record work completed through out the day. Preparing end of day reports to send out to company management. Carrying out file reviews on older investor files in order to obtain any outstanding documentation required in order to prevent delays should the investor decide to redeem and also ensure they are of standard set down in the company procedures. . Attending and participating in conference calls both with investors and clients. Following up with newer non compliant investors after the contract note had been sent in order to obtain outstanding documentation. Show less