Get in Touch
T: +44 20 3695 9251
E: info@grtconsult.com
71-75 Shelton Street Covent Garden, London, WC2H 9JQ
Get in Touch
T: +44 20 3695 9251
E: info@grtconsult.com
71-75 Shelton Street Covent Garden, London, WC2H 9JQ
Alex has over 15 years in Legal and Compliance professional with a unique blend of knowledge, expertise and experience in legal, regulatory, auditory, compliance and financial crime roles within the Insurance, Funds and Banking industries; Excellent relationship management skills with the ability to conduct responsibilities efficiently and professionally while comprehensively addressing complex issues; Aptitude to interpret and clarify matters of contention, provide solid solutions and translate technical concepts and conclusions into language applicable to the target recipients; previous experience of US Monitor and S166 investigations and subsequent remediation activities; Excellent drafting, communication, compliance based software solutions and leadership skills. He has recently finished my tenure as President of the European Chapter of the Fordham Law Alumni Association and member of the Advisory Board to Compliance Programs at Fordham School of Law and I am a regular guest lecturer at the Fordham Corporate Compliance Institute.
Work closely with the Group’s management to implement and oversee the Group’s Compliance program
Devise and implement appropriate Compliance processes, policies and procedures
Responsible for supporting and assisting all Compliance teams throughout the branch on Financial Crime related topics, act as a final point of escalation and provide an educational support.
Provide Compliance and Financial Crime advice to Kimura Capital, an asset management firm headquartered in London. Act as an advisor to the Board and senior management in addition to providing training and advice to team management to ensure appropriate oversight of the daily compliance and financial crime prevention activities of the team.
Responsible for all sanctions related escalations from all financial crime teams throughout the SUK business and liaise with in-house legal and external legal where required.
Led and managed financial crime investigations, projects and senior management requests as required particularly with the introduction of EU and US sanctions against Russia and Crimea
Provided analysis of legal, regulatory and other developments relating to Financial Crime and assist in the creation of relevant policies and procedures for the EMEA region
Monitor the accuracy of the interpretation to changes to financial crime initiatives, licensing requirements and regulations, and ensure appropriate advice is provided to all stakeholders.
Responsible for all areas of Financial Crime Compliance, including; AML, CFT, Sanctions, ABC & Fraud.
Assisted with the development of a global AML program for the Swiss Re Group including the development of policies and procedures; the review, selection and implementation of an AML screening and monitoring tools; development of multi-layered training programs; and a robust internal and external reporting structure and processes, ensuring continued compliance with legal and regulatory obligations.
Developed internal standard of documentation organisation, audit preparation & regulatory reporting for brokers and implemented procedures including AML, KYC, Consumer Protection Code, TCF and dealing with complaints and tailored procedural steps to ensure that these requirements were met.
