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Compliance specialist in AML, KYC, FCC, Liquidations and Corporate Secretarial
Keivana Lee
,
Leicester, United Kingdom
Experience
Other titles
Skills
I'm offering
N
Markets
United Kingdom
Language
English
Fluently
Ready for
Larger project
Ongoing relation / part-time
Full time contractor
Available
My experience
2018 - ?
freelance
Consultant
Aston Carter.
Santander Bank - Financial Crime/KYC Remediation - KYC Consultant
Remediation of Medium and High Risk customers by analyzing historic and new documentation in con-
junction with internal and external sources in accordance with regulatory and KYC requirements. Per-
forming research with internal and external sources. Conducting Screening and transactional analysis to analyze the risk associated with the client from a technical perspective. Dealing with Sanctions and Risk
related issues to the bank. Determining SARS related issues. Liaising with senior stakeholders and ex-
ternal customers to gather additional information. Working effectively with key stakeholders to ensure
mutually satisfactory resolution of key issues and the respective responsibilities are understood and dis-
charged. Working in a pressurized, time-sensitive environment
Remediation of Medium and High Risk customers by analyzing historic and new documentation in con-
junction with internal and external sources in accordance with regulatory and KYC requirements. Per-
forming research with internal and external sources. Conducting Screening and transactional analysis to analyze the risk associated with the client from a technical perspective. Dealing with Sanctions and Risk
related issues to the bank. Determining SARS related issues. Liaising with senior stakeholders and ex-
ternal customers to gather additional information. Working effectively with key stakeholders to ensure
mutually satisfactory resolution of key issues and the respective responsibilities are understood and dis-
charged. Working in a pressurized, time-sensitive environment
Research, Regulatory, KYC
2016 - 2016
job
Interim Administrator
NHS Arden & GEM Continuing Healthcare.
Assisting with Auditing & Cleansing of Data pertaining to recent a change of systems. Assisting with CHC review bookings.
Administrator, Interim
2015 - 2016
job
Senior Compliance and Quality Control Analyst
Clarien Bank Bermuda.
Working alongside the Middle Office manager to oversee the Middle Office & its' staff to support Fi-
nancial Crime & Regulatory Compliance to ensure standards were met for Remediation, Monitoring and Quality Assurance by providing advice and guidance. Preparation of daily & weekly remediation targets.
Point of contact for remediation for new & existing customers. Creation of forms, policies & procedures for various activities within the bank. Evaluation of wire transfers and other payments for potential
fraud, money laundering, patterns and inconsistencies. Review, research and make determination of sus-
picion on items and transactions identified via AML automated alerts or manually received reports and referrals. Understand and stay current on the Red Flags and industry trends related to AML. Conduct
background investigations as required Initiated, processed, closed, and documented investigations per
Know Your Customer. Cross-trained key members of New Accounts department and Corporate, Trust,
Brokerage & Investment Relationship Managers on AML on-boarding policies. Internally audited New
Account's compliance with KYC procedures. Well versed in completing and reviewing Enhanced Due
Diligence Investigations. Contacting Relationship Manager, for further information when EDD is con-
ducted. Performed Enhanced Due Diligence on customers deemed high risk, and suggested account re-
strictions and/or account closures based on risk to the institution. FATF & CRS consultations and audit-
ing.
nancial Crime & Regulatory Compliance to ensure standards were met for Remediation, Monitoring and Quality Assurance by providing advice and guidance. Preparation of daily & weekly remediation targets.
Point of contact for remediation for new & existing customers. Creation of forms, policies & procedures for various activities within the bank. Evaluation of wire transfers and other payments for potential
fraud, money laundering, patterns and inconsistencies. Review, research and make determination of sus-
picion on items and transactions identified via AML automated alerts or manually received reports and referrals. Understand and stay current on the Red Flags and industry trends related to AML. Conduct
background investigations as required Initiated, processed, closed, and documented investigations per
Know Your Customer. Cross-trained key members of New Accounts department and Corporate, Trust,
Brokerage & Investment Relationship Managers on AML on-boarding policies. Internally audited New
Account's compliance with KYC procedures. Well versed in completing and reviewing Enhanced Due
Diligence Investigations. Contacting Relationship Manager, for further information when EDD is con-
ducted. Performed Enhanced Due Diligence on customers deemed high risk, and suggested account re-
strictions and/or account closures based on risk to the institution. FATF & CRS consultations and audit-
ing.
Research, Audit, Due Diligence, Compliance, Support, Quality Assurance, Analyst, Monitoring, Regulatory, Office, Audit, Patterns, KYC, Manager
2014 - 2015
freelance
Bermuda Executive Services (Agency) - Consultant
HSBC Bank.
HTS - Quality Assurance Analyst
Working alongside the HTS Client Onboarding Team Manager to strengthen the team through the re-
view of team members work to ensure Global Standards in relation to Operations, Compliance,
AML/CDD/KYC regulatory and FATF requirements are met for low to high risk rated domestic and
non-domestic corporate customers. Responsibilities were to review and advise on how to improve the team members understanding relating to FCC/KYC compliance and to ensure that Global Standards
were met. Ad Hoc reporting to Business Management regarding deficiencies and suggestions for train-
ing, BAU and progress.
Working alongside the HTS Client Onboarding Team Manager to strengthen the team through the re-
view of team members work to ensure Global Standards in relation to Operations, Compliance,
AML/CDD/KYC regulatory and FATF requirements are met for low to high risk rated domestic and
non-domestic corporate customers. Responsibilities were to review and advise on how to improve the team members understanding relating to FCC/KYC compliance and to ensure that Global Standards
were met. Ad Hoc reporting to Business Management regarding deficiencies and suggestions for train-
ing, BAU and progress.
Operations, Business Management, Management, Onboarding, Compliance, Quality Assurance, Analyst, Regulatory, KYC, Manager
2013 - 2014
job
Compliance Coordinator/Asset Management
Eden Brown Limited.
(Agency)
➢ Charnwood Borough Council/Housing, Planning, Regeneration and Regulatory Services -
Compliance Coordinator/Asset Management
Review of outsourced contractor gas certificates to ensure compliance with regulatory requirements.
Self-Audits for record keeping / External Audits to ensure contract fulfillment
Review invoices vs. works completed. Weekly report creation for overall management reviews
➢ Charnwood Borough Council/Housing, Planning, Regeneration and Regulatory Services -
Compliance Coordinator/Asset Management
Review of outsourced contractor gas certificates to ensure compliance with regulatory requirements.
Self-Audits for record keeping / External Audits to ensure contract fulfillment
Review invoices vs. works completed. Weekly report creation for overall management reviews
Management, Asset Management, Compliance, Regulatory, Coordinator
2011 - 2013
job
Topps Tile - Trade Credit Account Administrator
Search Consultancy (Agency).
(June '12)
Follow-up for Trade Credit Account Details / Obtaining references
Follow-up for Trade Credit Account Details / Obtaining references
Administrator, UP
2013 - 2013
freelance
Global Payments - PCI DSS Compliance Consultant
Adecco UK.
Card Schemes Compliance relating to card data protection/PCI DSS Compliance
Liaise with all level merchants (Levels 1 - 4)
Cell: 07707652636;E-mail:[email protected];
Liaise with key parties within the Card Data Security (Security Metrics)
Manage a portfolio of queries from merchants regarding the various aspects of PCI Compliance
Advise merchants on PCI DSS Compliance requirements
Analyze individual merchant's compliance, to ensure the business has taken correct steps to notify the merchant of their requirement to become compliant to prevent non-compliance and related charges; pro-
vide non-compliance fee refunds when applicable
Liaise with all level merchants (Levels 1 - 4)
Cell: 07707652636;E-mail:[email protected];
Liaise with key parties within the Card Data Security (Security Metrics)
Manage a portfolio of queries from merchants regarding the various aspects of PCI Compliance
Advise merchants on PCI DSS Compliance requirements
Analyze individual merchant's compliance, to ensure the business has taken correct steps to notify the merchant of their requirement to become compliant to prevent non-compliance and related charges; pro-
vide non-compliance fee refunds when applicable
Compliance, Security, Data protection
2003 - 2010
job
Compliance Assistant/Administrator
Conyers Dill & Pearman.
Specialization in low to high risk corporate and individual clients for AML/CDD/KYC purposes for both
legal and beneficial ownership reviews. A thorough understanding of multi-jurisdictional AML Regula-
tions, Codes, Guidance Notes and Legislation was required to ensure proper advice was given to meet
requirements. Research on potential and existing clients conducted by carrying searches on World-
Check, Complinet, LexisNexis and other websites.
➢ Presentation of AML Training to attorney and corporate managers in regard to Legal & Corporate Cli-
ents
Conyers Dill & Pearman Liquidations Administrator (through to 4th September 2007)
➢ Successful dissolution of more than 400 local and international Corporate entities relating to Corporates,
Trusts, Insurance/Re-Insurance and Funds/Shipping & Aviation per the Companies Act 1981. Respon-
sibilities held were to review of corporate documents, financial banking statements, creation of final fi-
nancial statement from date of entering liquidation to dissolution. Additionally, ensuring all fees payable and receivable were recorded and actioned accordingly. Correspondence with local regulatory bodies
when required i.e. Register of Companies or Bermuda Monetary Authority. Where required drafting of
AGM's, SGM's, Written Resolutions or Notices of meetings etc. Correspondence with clients from vari-
ous local and international jurisdiction. Records Retention per requirements, general administration du-
ties and various additional tasks and responsibilities
legal and beneficial ownership reviews. A thorough understanding of multi-jurisdictional AML Regula-
tions, Codes, Guidance Notes and Legislation was required to ensure proper advice was given to meet
requirements. Research on potential and existing clients conducted by carrying searches on World-
Check, Complinet, LexisNexis and other websites.
➢ Presentation of AML Training to attorney and corporate managers in regard to Legal & Corporate Cli-
ents
Conyers Dill & Pearman Liquidations Administrator (through to 4th September 2007)
➢ Successful dissolution of more than 400 local and international Corporate entities relating to Corporates,
Trusts, Insurance/Re-Insurance and Funds/Shipping & Aviation per the Companies Act 1981. Respon-
sibilities held were to review of corporate documents, financial banking statements, creation of final fi-
nancial statement from date of entering liquidation to dissolution. Additionally, ensuring all fees payable and receivable were recorded and actioned accordingly. Correspondence with local regulatory bodies
when required i.e. Register of Companies or Bermuda Monetary Authority. Where required drafting of
AGM's, SGM's, Written Resolutions or Notices of meetings etc. Correspondence with clients from vari-
ous local and international jurisdiction. Records Retention per requirements, general administration du-
ties and various additional tasks and responsibilities
Administration, Websites, Research, Training, Banking, Compliance, Shipping, Regulatory, Insurance, Retention, International, Administrator, KYC
2000 - 2002
job
Executive Secretary, Trust & Financial Department
Appleby's (F.K.A. Appleby Spurling & Kempe).
Administrative duties pertaining to Trust & Probate. Ensuring filings and relevant parties related to probate were communicated to and keeping of records to response as well as drafting of financials re.,
collections and distributions of the estate. Creation and finalizing of Wills, Trust Documents, POA and other documents relating to Trust & Probate.
Administrative Secretary, Shipping & Aviation & Securities Teams
➢ Administrative duties performed to ensure compliance with Company's Act 1981 and POCA relating to maintenance of corporate minute books, share register and register of directors. Corporate responsibili-
ties for annual government tax, annual general & directors' meetings. Beneficial ownership reviews and updates. Correspondence with local regulatory bodies (Register of Companies and Bermuda Monetary Authority)
➢ Starr Family Coordinator - for 2nd, 4th & 5th Floors / Fire Safety Committee Member
Cell: 07707652636;E-mail:[email protected];
collections and distributions of the estate. Creation and finalizing of Wills, Trust Documents, POA and other documents relating to Trust & Probate.
Administrative Secretary, Shipping & Aviation & Securities Teams
➢ Administrative duties performed to ensure compliance with Company's Act 1981 and POCA relating to maintenance of corporate minute books, share register and register of directors. Corporate responsibili-
ties for annual government tax, annual general & directors' meetings. Beneficial ownership reviews and updates. Correspondence with local regulatory bodies (Register of Companies and Bermuda Monetary Authority)
➢ Starr Family Coordinator - for 2nd, 4th & 5th Floors / Fire Safety Committee Member
Cell: 07707652636;E-mail:[email protected];
Compliance, Shipping, Safety, Regulatory, Coordinator
My education
2014
-
2016
Awarding body University of Manchester
Somepostgraduate, N/a
Somepostgraduate, N/a
2006
-
2007
Bermuda College
N/a, Micro-Economics / Macro-Economics
N/a, Micro-Economics / Macro-Economics
2000
-
2001
Bermuda College
Certification, N/a
Certification, N/a
n/a
Unspecified, Anti-Money Laundering
Unspecified, Anti-Money Laundering
n/a
Unspecified, Compliance
Unspecified, Compliance
?
-
1999
n/a
Unspecified, Key Skills & Competencies (Minor in Training)
Unspecified, Key Skills & Competencies (Minor in Training)
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