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Experienced Compliance Professional (Banking & Financial Services)
AYESHA DUNBAR
,
Bexleyheath, United Kingdom
Experience
Other titles
Skills
I'm offering
A financial compliance professional, with verifiable experience in implementing compliance and banking operations risk management strategies over the past 10 years. Commands cross functional experience in regulatory compliance; Anti-Money Laundering & Counter Terrorism Financing (AML/CTF) compliance (including Know Your Customer, Politically Exposed Persons, High Risk clients and Sanctions); Suspicious Activity Investigation and Reporting; and conducting Due Diligence to facilitate Client On-boarding and relationship management.
An influential team player who is solution oriented and focused on achieving results by building long-term and mutually beneficial business relationships. Excellent communication, people management and analytical skills, with a proven ability to manage compliance risk, whilst building trust, and mutual respect at all business levels.
Recent Projects: Compliance Monitoring Solution- Subject Matter Expert (SME)- Requirements Development, Testing and Implementation.
An influential team player who is solution oriented and focused on achieving results by building long-term and mutually beneficial business relationships. Excellent communication, people management and analytical skills, with a proven ability to manage compliance risk, whilst building trust, and mutual respect at all business levels.
Recent Projects: Compliance Monitoring Solution- Subject Matter Expert (SME)- Requirements Development, Testing and Implementation.
Markets
United Kingdom
Industries
Language
English
Fluently
Ready for
Ongoing relation / part-time
Full time contractor
Available
My experience
2019 - 2020
job
Compliance Specialist
JN Bank Ltd.
Developing and implementing policies and procedures to strengthen the AML/CTF and Know Your
Customer (KYC) Compliance Programme and Policy Framework of the bank.
* Leading investigations on Suspicious Activity Reports submitted by the business.
* Conducting Enhanced Due Diligence on High Risk individuals, entities and countries.
* Monitoring and reporting to Senior Management on the Compliance Risk function and providing business
support on a variety of complex compliance matters.
* Leading the execution of internal compliance reviews and evaluating the adequacy and effectiveness
of management controls with regards to compliance with all regulatory requirements and best practice.
Standouts:
* Implemented a Compliance Training Programme for team members and senior management.
* Maintained relationships with the regulators and correspondent banks to ensure that the Bank operated
within the prescribed regulatory framework and managed disclosures and communication.
* Assessed compliance with regulatory standards, internal policies, guidelines, procedures and programs
and provided strategic advice and recommendations regarding: Anti-Money Laundering, Counter
Terrorist Financing, Know Your Customer, Financial Crime Prevention and Regulatory Compliance.
Customer (KYC) Compliance Programme and Policy Framework of the bank.
* Leading investigations on Suspicious Activity Reports submitted by the business.
* Conducting Enhanced Due Diligence on High Risk individuals, entities and countries.
* Monitoring and reporting to Senior Management on the Compliance Risk function and providing business
support on a variety of complex compliance matters.
* Leading the execution of internal compliance reviews and evaluating the adequacy and effectiveness
of management controls with regards to compliance with all regulatory requirements and best practice.
Standouts:
* Implemented a Compliance Training Programme for team members and senior management.
* Maintained relationships with the regulators and correspondent banks to ensure that the Bank operated
within the prescribed regulatory framework and managed disclosures and communication.
* Assessed compliance with regulatory standards, internal policies, guidelines, procedures and programs
and provided strategic advice and recommendations regarding: Anti-Money Laundering, Counter
Terrorist Financing, Know Your Customer, Financial Crime Prevention and Regulatory Compliance.
Training, Due Diligence, Management, Compliance, Support, Monitoring, Regulatory, Framework, KYC
2016 - 2019
job
Compliance Officer
GraceKennedy Financial Group.
* Undertaking transaction monitoring and Customer Due Diligence investigations.
* Executing Compliance Reviews of business processes and operational risk reviews for the branches.
* Performing complex research, AML risk assessments and regulatory analysis for High Risk customers in order
to monitor customer transaction activities and support operations.
* Conducting monitoring and investigations for Customer and Payment Screening.
* Developing and conducting AML/CTF and KYC Training for banking and investments.
* Drafting responses and preparing documents for AML/CTF Reviews, KYC Attestations and requests for
further information from correspondent banks and regulators on compliance matters.
* Completing regulatory reporting and disclosures regarding Suspicious Activity and Threshold Transactions.
Standouts:
* Lead User Acceptance Testing and implementation of an automated Compliance Monitoring Solution;
trained team members and resolved post-implementation issues as a Subject Matter Expert.
* Developed a Comprehensive Regulatory Checklist for regulations that govern the Bank's operations.
* Undertook a gap analysis regarding the implementation of new regulations issued by the regulators.
* Developed and revised policies for: Fraud Detection and Prevention, Know Your Customer, Know Your
Employee, FATCA Compliance and Anti-Money Laundering and Counter Terrorism Financing.
* Executing Compliance Reviews of business processes and operational risk reviews for the branches.
* Performing complex research, AML risk assessments and regulatory analysis for High Risk customers in order
to monitor customer transaction activities and support operations.
* Conducting monitoring and investigations for Customer and Payment Screening.
* Developing and conducting AML/CTF and KYC Training for banking and investments.
* Drafting responses and preparing documents for AML/CTF Reviews, KYC Attestations and requests for
further information from correspondent banks and regulators on compliance matters.
* Completing regulatory reporting and disclosures regarding Suspicious Activity and Threshold Transactions.
Standouts:
* Lead User Acceptance Testing and implementation of an automated Compliance Monitoring Solution;
trained team members and resolved post-implementation issues as a Subject Matter Expert.
* Developed a Comprehensive Regulatory Checklist for regulations that govern the Bank's operations.
* Undertook a gap analysis regarding the implementation of new regulations issued by the regulators.
* Developed and revised policies for: Fraud Detection and Prevention, Know Your Customer, Know Your
Employee, FATCA Compliance and Anti-Money Laundering and Counter Terrorism Financing.
Operations, Research, Training, Due Diligence, Compliance, Banking, Support, Implementation, Monitoring, Testing, Regulatory, Performing, KYC, Processes
2010 - 2011
job
Customer Assistant
Marks and Spencer.
Providing exceptional customer service in a timely and professional manner; taking ownership and resolving customer enquiries and managing customer complaints.
Standouts:
* Drove sales performance through analysis of customer purchase data and communication of Top Sellers.
Standouts:
* Drove sales performance through analysis of customer purchase data and communication of Top Sellers.
Customer service, Sales, Service
2010 - 2010
job
Legal Secretary Support (Summer Placement)
Landes Hutton Solicitors.
Preparing documents for submission to Court and Regulators.
Standouts:
* Drafted client briefs, position statements and compiled Court bundles.
Standouts:
* Drafted client briefs, position statements and compiled Court bundles.
Support
2003 - 2010
job
Retail Service Delivery Coordinator
JMMB.
* Planning and executing corporate events aimed at increasing funds under management.
* Providing administrative support and coordinating team activities.
Standouts:
* Contributed to growth in funds under management through increased returns on events.
* Providing administrative support and coordinating team activities.
Standouts:
* Contributed to growth in funds under management through increased returns on events.
Retail, Corporate events, Management, Service, Support, Growth, Coordinator, Service Delivery
2002 - 2003
job
Assistant Functions Coordinator
Half Moon Hotel.
Organising and managing client events ensuring that client expectations were met.
Standouts:
* Played a pivotal role in the coordination and execution of events for High Net Worth clients.
Standouts:
* Played a pivotal role in the coordination and execution of events for High Net Worth clients.
Net, Coordinator
My education
2007
-
2010
UNIVERSITY OF LONDON
Bachelors, Laws
Bachelors, Laws
2003
-
2005
UNIVERSITY OF THE WEST INDIES
Masters, Tourism and Hospitality
Masters, Tourism and Hospitality
1998
-
2002
UNIVERSITY OF THE WEST INDIES AND UNIVERSITY OF TECHNOLOGY
BSc, N/a
BSc, N/a
n/a
First Class Honours, Hospitality and Tourism Management
First Class Honours, Hospitality and Tourism Management
?
-
2014
Institute of Financial Services University College
Certification, N/a
Certification, N/a
?
-
2012
City Law School
Somepostgraduate, N/a
Somepostgraduate, N/a
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