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
An expert assurance and remediation manager with extensive experience in AML/KYC, operational and conduct risk, with a proven ability to manage projects, budgets and teams unsupervised. Versed in private wealth, commercial, corporate and investment banking, with extensive experience of client and stakeholder relationship management. Skilled at balancing commercial materiality with the attention to detail required to deliver thematic file and policy/procedural reviews, as well as assurance and remediation programs.
Supported Tier 1 Investment Bank in response to a Section 166 review of PEP/High risk reviews/sanctions.
As part of a UK Tier 1 Bank’s disposal of their African subsidiary, provided SME expertise over their AML Control Framework.
Reviewed AML processes and policies to identify gaps and take remedial action.
Quality Assurance Office in Financial Crime at Major European Investment Bank.
Fin Crime Team management, training and coaching.
Provided SME expertise to a Global Bank as part of the FCA’s investigation into unauthorised FX spot fixing incidents.
Authored remediation reports for Compliance and Operational Risk teams based on adequacy of Front Office Remediation actions.
Drafted reports to Regulators under Regulatory Orders, gained stakeholder approval, and distributed to the Regulator.
Consultancy team development including one to one coaching and mentoring of junior Consultancy staff seconded to the Bank, mentor and subject matter expert for Bank staff involved in remediation reviews and regulatory reporting.
Remedial analysis of AML/KYC recording keeping and FATCA US Indicia including the systems and controls surrounding client records, within a large UK Private Wealth organisation.
Designed and documented the remediation processes and procedures for the tactical remediation of AML, KYC and FATCA records to comply with the Bank’s strategic requirements.
Suitability Analysis and investigation of the sale of investment products to the Private Wealth Management client base across EMEA, as well as the conduct risk associated with such sales for a Tier 1 Global Bank.
Identified potential and actual failings of investment suitability, discretionary management, and solicited sales within advisory relationships.
Provided recommendations for compensation, portfolio re-balancing and re-papering.
Reviews of AML, counterterrorism, PEP and Sanctions monitoring activity focusing on the Bank’s Actimize transaction monitoring system and in-house client screening solutions
Quality assurance of remediation activity covering a backlog of aged alerts as a result of systems implementation.
Improvement of alerting models, thresholds, logic and source data.
Reviewed and revised policies, procedures and data model to increase the focus on real risk and suppress supress false positive results.
