Compliance Officer

• Sep 2020 - Present

Assistant Manager Financial Crime Compliance

• Aug 2016 - Jun 2020

Responsible for high risk client reviews, initially for client base banked in Germany and France and consequently following sector alignment for banks serviced out of Europe, including South Africa and Bermuda. • Ensure that periodic reviews were conducted on a timely basis liaising with all stake holders to ensure the business meets their objectives • Conducting regular catch –up meetings with the Global Relationship Bankers / Relationship Managers population to discuss open issues • Working closely with the correspondent banking enhanced due diligence team as well as the reputational risk team to provide risk assessments based on findings of the transactions monitoring team in relation to potential nesting activity and the correspondent bank’s client base to ensure these relationship are within HSBC’s risk appetite. • Daily review of news alerts and highlighting adverse news to Relationship Managers with potentially triggering a high risk review and providing guidance on risk mitigation • Review and approve exception requests to ensure client profiles can be created and retained when AML and KYC policy requirements cannot be met. Working closely with the KYC and client outreach teams. • Providing guidance and assistance to ensure AML and KYC requirements are met for both correspondent banking clients as well as other financial institutions. Show less

Risk management

• Jul 2013 - Nov 2015

Operational Risk Manager. Deputy local information security officer. Initially responsible for on-boarding clients pending from the transition from Bank of America Merrill Lynch to Julius Baer International Operational Risk Manager. Deputy local information security officer. Initially responsible for on-boarding clients pending from the transition from Bank of America Merrill Lynch to Julius Baer International

Manager supervision and control

• Oct 2007 - Jul 2013

Daily trade review. Account opening review. AML and KYC reviews

Investment Advisor

• Oct 2000 - Oct 2007

Looking after German speaking clients. Providing investment advice

Various back office roles

• Apr 1993 - Oct 2000

Wire Operator - Hamburg Germany Cashiering Department - London Wire Operator - Hamburg Germany Cashiering Department - London