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General Data Privacy and Financial Services Compliance Specialist
Mutasim Ali
,
Basildon, United Kingdom
Experience
Other titles
Skills
I'm offering
I am a talented and experienced professional with excellent analytical skills who has acquired a wealth of experience within Banking and Financial Services, having worked in both first and second line of defence roles. I’m an individual with project management skills who is adept at building and managing key relationships with a wide audience from senior managers to front line staff, using highly effective problem solving, organisation and planning skills. I am highly experienced and am looking to use my analytical and risk management skills within a forward thinking organisation.
Markets
United Kingdom
Industries
Language
English
Fluently
Ready for
Larger project
Ongoing relation / part-time
Full time contractor
Available
My experience
2019 - ?
job
Risk, Compliance and Data Privacy Manager
Qatar National Bank.
Key Duties / Achievements
• Review of control process and risk assessment of all business activities from Retail to Treasury Operations
• Working closely with 1st and 2nd Line of Defence teams to ensure policies and procedures are updated
• Working closely with Legal team in drafting Terms and Conditions documents for all business areas including Islamic and Correspondent Banking
• Extensive work on PSD2 project, including successful application of PSD2 fall back exemption
• Extensive work on GDPR and Data Privacy
• Creation of a ROPA - Records of Processing Activity
• Qualified - CIPP/E (Certified Information Privacy Professional / Europe) and CIPM (Certified Information Privacy Manager)
• Relationship building with international group of senior stakeholders
• Review of control process and risk assessment of all business activities from Retail to Treasury Operations
• Working closely with 1st and 2nd Line of Defence teams to ensure policies and procedures are updated
• Working closely with Legal team in drafting Terms and Conditions documents for all business areas including Islamic and Correspondent Banking
• Extensive work on PSD2 project, including successful application of PSD2 fall back exemption
• Extensive work on GDPR and Data Privacy
• Creation of a ROPA - Records of Processing Activity
• Qualified - CIPP/E (Certified Information Privacy Professional / Europe) and CIPM (Certified Information Privacy Manager)
• Relationship building with international group of senior stakeholders
Retail, Operations, GDpr, Compliance, Banking, Assessment, International, Processing, Treasury, Manager
2017 - 2019
job
AVP Operational Risk Analyst
Barclays Bank Plc.
Key Duties/ Achievements:
• Review, monitor, analyse and challenge the performance of the first line; establishing limits, rules and constraints under which first line activities are performed, ensuring consistency with the firm's risk appetite
• Working with other key risk functions to ensure that the risk is appropriately aligned, assessed, managed and mitigated
• Monitor and analyse Critical/Major risk events using MI, making recommendations and escalating to senior management where necessary
• Conduct horizon scanning to identify emerging risks and themes
• Review the content of Framework, Policies and Standards
• Provide oversight and challenge for waivers, dispensations and breaches against policy
• Monitor the controls testing schedule for each business unit; review findings and all testing evidence for compliance with the Controls Testing Standard and the Transaction Operations Policies and Standards
• Review the business unit end to end Transaction Operations processes to ensure risk and control assessment coverage
• Build and maintain effective relationships between Operational Risk teams, Business Units, first line of defence and Barclays Internal Audit
• Act as a point of contact within the team for key Operational Risk tools and systems, such as ORAC
• Analyse complex data and risk events/issues, recommending and delivering solutions to enhance oversight of the risk position
• Conducting Process and Risk led RCSA's
• Keep abreast of external developments and change both within and outside of financial services
• Review, monitor, analyse and challenge the performance of the first line; establishing limits, rules and constraints under which first line activities are performed, ensuring consistency with the firm's risk appetite
• Working with other key risk functions to ensure that the risk is appropriately aligned, assessed, managed and mitigated
• Monitor and analyse Critical/Major risk events using MI, making recommendations and escalating to senior management where necessary
• Conduct horizon scanning to identify emerging risks and themes
• Review the content of Framework, Policies and Standards
• Provide oversight and challenge for waivers, dispensations and breaches against policy
• Monitor the controls testing schedule for each business unit; review findings and all testing evidence for compliance with the Controls Testing Standard and the Transaction Operations Policies and Standards
• Review the business unit end to end Transaction Operations processes to ensure risk and control assessment coverage
• Build and maintain effective relationships between Operational Risk teams, Business Units, first line of defence and Barclays Internal Audit
• Act as a point of contact within the team for key Operational Risk tools and systems, such as ORAC
• Analyse complex data and risk events/issues, recommending and delivering solutions to enhance oversight of the risk position
• Conducting Process and Risk led RCSA's
• Keep abreast of external developments and change both within and outside of financial services
Operations, Audit, Management, Content, Compliance, Analyst, Testing, Assessment, Audit, Framework, Processes, LED
2015 - 2017
job
AVP Policy Governance Analyst
Global Regulatory Affairs and Policy.
RC, FCC and Reputational Risk - HSBC Holdings Plc
Key Duties/ Achievements:
• Interact with Regulatory Compliance / Financial Crime Compliance / Reputational Risk colleagues globally to ensure a consistent understanding of the methodology for policy governance;
• Acts as an advisor on policy governance queries, including Global Risk Compliance dispensations and text approval;
• Instrumental in the creation of a robust record keeping system to track and record changes to global RC/FCC/RRCS policies and dispensations;
• Responsible for analysing this data to producing monthly Management Information (MI) and an Executive Summary report for all relevant stakeholders including the Global Heads of Regulatory Compliance and Financial Crime Compliance;
• Undertake administrative duties such as policy updates on Global Standards Manual and the Global Risk Regulatory Compliance Functional Instruction Manual - maintaining a consistent approach to language, format and content;
• Ensuring the implementation of global policies down to regional and local procedures;
• The policy Governance teams' aim is to ensure all policies are written to a high standard and it is easy to identify associated risk stewards and also for the risk stewards to identify their own policies. Our overall objective is to increase the quality and reduce the quantity of Compliance related policies across the group.
Key Duties/ Achievements:
• Interact with Regulatory Compliance / Financial Crime Compliance / Reputational Risk colleagues globally to ensure a consistent understanding of the methodology for policy governance;
• Acts as an advisor on policy governance queries, including Global Risk Compliance dispensations and text approval;
• Instrumental in the creation of a robust record keeping system to track and record changes to global RC/FCC/RRCS policies and dispensations;
• Responsible for analysing this data to producing monthly Management Information (MI) and an Executive Summary report for all relevant stakeholders including the Global Heads of Regulatory Compliance and Financial Crime Compliance;
• Undertake administrative duties such as policy updates on Global Standards Manual and the Global Risk Regulatory Compliance Functional Instruction Manual - maintaining a consistent approach to language, format and content;
• Ensuring the implementation of global policies down to regional and local procedures;
• The policy Governance teams' aim is to ensure all policies are written to a high standard and it is easy to identify associated risk stewards and also for the risk stewards to identify their own policies. Our overall objective is to increase the quality and reduce the quantity of Compliance related policies across the group.
Management, Content, Compliance, PLC, It, Implementation, Analyst, Regulatory
2014 - 2015
job
Client Service Manager
Non-Bank Financial Institutions.
HSBC Global Banking and Markets
Key Duties/ Achievements:
• Looking after an international portfolio of 25 Non-Bank Financial Institutions;
• Managing relationships with CFO's and Finance Managers and their respective teams;
• Managing and resolving day-to-day payment and cash management issues;
• Experience using several payment systems including SWIFT, MIDAS, GMG and HUB;
• Experience of cash flow management, payments via CHAPS, BACS, foreign currency exchange;
• Protecting the bank and clients from Anti-Money Laundering and Global Sanctions violations;
Key Duties/ Achievements:
• Looking after an international portfolio of 25 Non-Bank Financial Institutions;
• Managing relationships with CFO's and Finance Managers and their respective teams;
• Managing and resolving day-to-day payment and cash management issues;
• Experience using several payment systems including SWIFT, MIDAS, GMG and HUB;
• Experience of cash flow management, payments via CHAPS, BACS, foreign currency exchange;
• Protecting the bank and clients from Anti-Money Laundering and Global Sanctions violations;
Swift, Exchange, Management, Finance, Service, Banking, Cash management, CFO, International, Service Manager, Manager
2013 - 2014
job
Client Liaison Officer
HSBC Commercial Banking.
Key Duties/ Achievements:
• Responsibility for the development of credit applications, working in line with client objectives and a range of finance products;
• Utilises extensive knowledge of risk management systems to successfully complete all tasks;
• Keeps abreast and demonstrates wealth of experience and knowledge within complex financial products;
• Plays a pivotal role within the analysis of financial accounts and management information, completing extensive liaison with colleagues and overseeing any issues through to resolution;
• Works closely with Relationship Managers, developing effective industry analysis for all credit applications;
• Ensures the effective creation of all facility agreements and security documentation, working in line with customer requirements;
• Continually enhances efficiency in relation to procedures through the implementation of key improvements as well as achieving excellent cost savings;
• Responsibility for the development of credit applications, working in line with client objectives and a range of finance products;
• Utilises extensive knowledge of risk management systems to successfully complete all tasks;
• Keeps abreast and demonstrates wealth of experience and knowledge within complex financial products;
• Plays a pivotal role within the analysis of financial accounts and management information, completing extensive liaison with colleagues and overseeing any issues through to resolution;
• Works closely with Relationship Managers, developing effective industry analysis for all credit applications;
• Ensures the effective creation of all facility agreements and security documentation, working in line with customer requirements;
• Continually enhances efficiency in relation to procedures through the implementation of key improvements as well as achieving excellent cost savings;
Risk Management, Management, Finance, Security, Implementation, Development
2010 - 2013
job
Customer Service Officer
HSBC Retail Banking and Wealth Management.
Customer service, Service
My education
2006
-
2009
Kingston University
Bachelors, Business Management
Bachelors, Business Management
2004
-
2006
n/a
Secondary, Business Studies
Secondary, Business Studies
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