Experience

TP ICAP PLC

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Manager - EMEA Client Onboarding

  • May 2017 - Present



Tullett Prebon

• Financial Services
• 700 & Above Employee

• Head of EMEA Client Onboarding

  • Mar 2015 - May 2017

• Head of EMEA Client Onboarding

  • Mar 2015 - May 2017



Bank of America Merrill Lynch

• United States
• Financial Services
• 700 & Above Employee

• Senior AML Analyst

  • Mar 2012 - Oct 2014

  Senior AML Analyst with overall management responsibilities for a small strategic team of 4 AML analysts across London, Paris, Jersey and Luxembourg. Primarily tasked with conducting due diligence reviews on high-risk clients consisting of corporate entities, PEPs, trusts, SIPPs, SASS, foundations, funds and charities. Also researched every UK Pershing client to ascertain their source of wealth and funds. Complied a detailed report with supporting documentation to validate the source and achieve compliance sign-off. Other successes were: Senior AML Analyst with overall management responsibilities for a small strategic team of 4 AML analysts across London, Paris, Jersey and Luxembourg. Primarily tasked with conducting due diligence reviews on high-risk clients consisting of corporate entities, PEPs, trusts, SIPPs, SASS, foundations, funds and charities. Also researched every UK Pershing client to ascertain their source of wealth and funds. Complied a detailed report with supporting documentation to validate the source and achieve compliance sign-off. Other successes were: • Completed gap analysis and remediation of the UK Pershing clients 6 weeks ahead of schedule • Carried out detailed checks on the investigation and analysis of outputs from WorldCheck, Factiva and the internet to ensure sanctions, negative news and PEPs hits had been escalated • Provided complete support and advice on KYC-related matters • Assisted with on-boarding new customers Show less



MF Global

• United States
• Financial Services
• 700 & Above Employee

• Senior AML Transaction Monitoring & Compliance Officer

  • Jul 2007 - Nov 2011

  Full ownership for ensuring alerts generated by the AML transaction monitoring system were swiftly reviewed and recorded with any suspicious transactions highlighted for further investigation. Conducted comprehensive training to colleagues across the world on how the system worked and how to interpret the rules. Reviewed the system on a regular basis to ensure on-going effectiveness and to minimise false positive alerts. Motivated and supervised a team of 3 analysts and mentored one. Own, deliver and report on the investigation of positive Sanction matches includes identifying, investigating and reporting within the incident management framework Responsibilities and accomplishments also included: • Key player in the design and testing of the system which was rolled out to offices around the world • Investigated and analysed any suspicious transactions or activities and reported findings to the MLRO • Ensured the Case Manager and AML watch list are kept up-to-date • Closely monitored all cash movement and trading activities of clients on the AML watch list on a daily basis • Devised and implemented a market abuse surveillance tool to strengthen the firm’s market abuse monitoring and ensured US stock trades platforms were captured and investigated if necessary • Carried out detailed checks, investigations and analysis of sanctions, negative news and PEPs outputs from WorldCheck and Experian on a daily basis to ensure positive hits were appropriately escalated • Provided guidance and recommendation where true matches are identified • Carried out detailed investigation of potential sanctions matches identified through the payment filtering process and escalation of confirmed matches to MLRO in a timely manner • Assisted with the creation of MI report, as well as intelligence gathering • Provided advice to the Front Office on KYC related matters Show less



Man Group Plc

• London, United Kingdom

• Assistant Client Onboarding Manager

  • Nov 2002 - Jun 2007

  Assist with the day-today management of the client-on-boarding (including KYC) process with responsibility for managing and mentoring 11 KYC Analysts. Demonstrated meticulous attention to detail by using the 4 eyes principle to carry out checks on new customer account opening forms, KYC information and ensuring all documentation was fit for purpose and complied with internal policies. Ensured all new clients were screened in accordance with the firm’s internal policy, information on positive hits escalated and potential hits were thoroughly investigated. Collaborated with the compliance department, front office and the on-boarding team to ensure any highlighted discrepancies were resolved rapidly and satisfactorily. Responsibilities and accomplishments also included: • Delegated and managed the team workload • Carried out new account sign-off, including 3rd party payment instruction • Liaised with Compliance/Legal, Credit and Client Services to remove roadblocks impeding the on-boarding process on-behalf of the team • Conducted regular CDD reviews of existing clients’ files including corporate entities, state owned entities (SOE), funds, SPVs, SIPP, SASS, trusts, foundations and charities • Instrumental in testing and implementing the on-boarding system and co-designed on-boarding checklists, scorecard and CDD matrix • Carried out detailed checks on the investigation and analysis of outputs from WorldCheck, Factiva and the internet to ensure sanctions, negative news and PEPs hits have been thoroughly reviewed and where applicable escalated • Provided guidance and recommendation where true matches are identified • Seconded for 6 months to the middle office in charge of LIFFE and IBEX trades reconciliation • Oversight of the preparation and execution of give-up agreements Show less



Habibsons Bank Limited

• Financial Services
• 1 - 100 Employee

• Internal Auditor

  • May 1997 - Oct 2002

  Took charge of auditing across businesses in London and Zurich to ensure the bank’s policies and procedures were compliant and there were adequate controls in place. Collaborated with the head of department on any auditing discrepancies and implemented agreed recommended controls for resolution purposes. • Devised an innovative credit tool to aid the analysts with balance sheet and cash flow projections• Compiled audit working papers and draft reports annotating recommendations to enhance existing controls and identified weaknesses• Prepared key MI for the audit committee when required Show less

• Credit & Trade Finance Officer

  • May 1995 - Apr 1997

  Responsible for processing new loan and mortgage applications including letters of credit applications. Also assisted with the checking of title deeds, guarantees and other collaterals provided as securities, as well as ensuring information relating to borrowers and their loans is current and accurately recorded on systems. Assisted with annual credit reviews, including balance sheet and cash-flow analysis. Managed the monitoring of credit limit input and ensured limit breaches are promptly escalated. Assisted with the creation of monthly MI report. Show less



International Bank for Trade & Industry (SL) Limited

• Freetown, Sierra Leone

• Trainee Bank Clerk

  • Jan 1990 - Apr 1991

  Processed client account opening forms and documents and assisted with special clearing and bank reconciliations. Provided temporary covers for cashiers and account staffs Processed client account opening forms and documents and assisted with special clearing and bank reconciliations. Provided temporary covers for cashiers and account staffs



Freetown United Football Club

• Freetown, Siera Leone

• Semi-Professional Footballer

  • Jul 1986 - Jan 1990

  Made 95 appearances, scored 40 goals, won 2 Championship medals and best young defender 1986/87. Made 95 appearances, scored 40 goals, won 2 Championship medals and best young defender 1986/87.