Svitlana Golubchyk, CAMS
Head of Compliance and AML at Dragon Capital- Claim this Profile
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Ukrainian Native or bilingual proficiency
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Russian Native or bilingual proficiency
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English -
Topline Score
Bio
Credentials
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CySEC certified AML Compliance Officer
CySEC - Cyprus Securities and Exchange CommissionFeb, 2020- Nov, 2024 -
Advansed professional certification by CySEC
CySEC - Cyprus Securities and Exchange CommissionJun, 2018- Nov, 2024 -
Certified Anti-Money Laundering Specialist
ACAMSMar, 2018- Nov, 2024 -
Certified professional on securities and stock market
National securities and stock market comissionApr, 2012- Nov, 2024 -
Certified AML Compliance specialist (financial monitoring)
National securities and stock market comissionJan, 2012- Nov, 2024
Experience
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Dragon Capital
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Ukraine
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Investment Banking
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100 - 200 Employee
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Head of Compliance and AML
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Apr 2020 - Present
• Leads the Compliance procedures and processes and reports to the Board. • Designs the internal practice, measures, procedures and controls, and describes and explicitly allocate the appropriateness and the limits of responsibility of each department. • Develops and establish the Client Acceptance Policy, monitors and assess the correct and effective implementation of the policy. Ensures the preparation and maintenance of the lists of Clients categorised following a risk-based… Show more • Leads the Compliance procedures and processes and reports to the Board. • Designs the internal practice, measures, procedures and controls, and describes and explicitly allocate the appropriateness and the limits of responsibility of each department. • Develops and establish the Client Acceptance Policy, monitors and assess the correct and effective implementation of the policy. Ensures the preparation and maintenance of the lists of Clients categorised following a risk-based approach • Following the evaluation of suspsion reports, notifies the Money Laundering Combat Unit and prepares relevant reports • Detects, records, and evaluates all risks arising from existing and new clients, new financial instruments and services and update and amend the systems and procedures for the effective management of the aforesaid risks • Updates the training programme accordingly, based on the relevant legislation • Prepares and submits timely to CySEC the monthly prevention statement, the Annual AML Report, the Annual Compliance report • Responds to all requests and queries from the Unit and CySEC etc
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Deputy Director, Deputy Chief Compliance Officer
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Nov 2017 - Apr 2020
• Ensuring the company complies with its regulatory requirements and internal policies; • Reviewing and setting standards, designing and updating internal policies to mitigate the risk of the company breaking laws and regulations; • Bringing expertise in client due diligence (including enhanced due diligence) and risk assessment as well as extensive experience with all type of local and foreign clients, including IFIs; • Communicating with local supervisory authorities, etc.
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Deputy Chief Compliance Officer
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Jan 2011 - Nov 2017
• Developing the corporate compliance program (Code of conduct, AML/CFT, Conflict of interest and Anticorruption compliance), working as an independent and objective body in order to review and evaluate compliance issues / concerns within the organization and outside; • Managing investigations into anything that violates regulatory and legal requirements within the company as well as with authorities; • Drafting opinions on normative and legislative acts modification; • Identification,… Show more • Developing the corporate compliance program (Code of conduct, AML/CFT, Conflict of interest and Anticorruption compliance), working as an independent and objective body in order to review and evaluate compliance issues / concerns within the organization and outside; • Managing investigations into anything that violates regulatory and legal requirements within the company as well as with authorities; • Drafting opinions on normative and legislative acts modification; • Identification, evaluation, monitoring and reporting to the CCO of all the aspects on compliance risk related to the business activity; • Clients, counterparties and partners due diligence to prevent violations of applicable regulations and laws, identification of risks and internal control weaknesses, and proposing solutions to management, etc.
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Assistant Sales and Trading, Administrative assistant
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Jun 2006 - Jan 2011
General assistance, which implies time and cost savings, to CEO and all department employees in all day-to-day activities. The key element is to project a professional company image by maintaining client relationships through in-person and phone interaction, and includes, but is not limited to assistance to clients, with business trips, organization of conferences as well as administrative support to the team.
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Education
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Ukrainian Stock Market Development Institute
Ukrainian Stock Market, Certified professional -
2017 - 2018
Chartered Institute for Securities & Investment
Financial Services Regulatory Framework: Advanced -
Association of Certified Anti-Money Laundering Specialists
Certified Anti-Money Laundering Specialist, AML, CFT, Compliance -
2002 - 2007
National Aviation University
Master's degree, International Economics
Community
