Welcome to Mary's freelance profile!
Compliance within financial services
Can work in or around London
- Suggested rate €1,000 / day
- Experience 2-7 years
This freelancer is available full-time but hasn't confirmed their availability in over 7 days.
Location and workplace preferences
- London, England, United Kingdom
- Can work onsite in your office in
- around London and 50km
Freelancer code of conduct signed
Read the Malt code of conduct
Native or bilingual
Mary in a few words
KYC compliance. I also have project management experience also working
within business management operations of the client onboarding department of BNP.
BNP Paribas - BNP
Compliance & business operations
.Carrying out screening checks on all clients to ensure they are AML compliant and all PEP and sanctioned clients escalated to financial security for further investigation before the required deadline.
.Conducting onboarding KYC checks on individuals and complex Legal Entity structures relating to client/counterparty buyers or sellers.
· Escalating derogation cases for consideration by the derogation committee in the event of insufficient information to complete a successful KYC check. This involved completing the required derogation form with as much detail as possible in order for the committee to make an informed decision.
· Completing detailed CAC reports for review by a KYC Specialist on cases that raised matters of concern from a KYC/AML perspective during the initial KYC checks. Ensured the report was submitted with as much information as possible and liaising with Local COT where necessary for any missing information. Required careful analysis of the facts and identification of the potential risks to the business in order to provide a recommendation on what the suitable outcome ought to be as well as, assessing whether the case was correctly risk rated.
· Advance use of the KYC tool app in locating, uploading documents and validating cases as well as use of the 2020 Analyst application for approving cases.
· Excellent knowledge of the KYC policy ensuring adherence to the proper procedure and measures in regards to both Local and Central COT case handling.
· The Specialist aspect of the role includes assessing high risk files for individuals, legal entities and wealth structures, 4-eye reviewing Compliance escalation forms and CAC forms and providing a specialist recommendation on whether to onboard a client on mitigating risks.
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