With over a decade of extensive experience in the financial sector, I have developed deep expertise in Compliance, Anti-Money Laundering and Counter-Terrorism Financing (AML/CTF), and Brokerage. My professional journey is underpinned by a strong academic foundation, having earned a Bachelor's degree in Business Administration with a concentration in Finance and Banking. I am a Certified Compliance Officer (CCO) and have successfully completed the Capital Market Exams (CME1, CME2, and CME3), along with achieving the CMA Advanced Qualification and GRCO certification.
My career is marked by a steadfast commitment to ensuring regulatory compliance and promoting a culture of integrity within financial institutions.
• Conduct thorough reviews of various organizational documents, such as policies, procedures, products, services, contracts, and reports, to ensure compliance with applicable laws, regulations, and internal guidelines.
• Assess the effectiveness and adequacy of compliance controls and systems by analyzing data and conducting risk assessments.
• Stay up-to-date with changes in relevant regulations and industry best practices, ensuring the organization remains compliant and promptly addressing any necessary updates.
• Advice to comply with policies,procedures, program, manual and ToR related to Compliance including recommendations/ enhancement / modifications as required.
• Monitor Compliance action plan for the assigned Group/Divisions taking into consideration any specific regulatory requirements
• Ensure proper advices, reporting, monitoring & Controls of all actions initiated with Group/Divisions.
• Provide Advice on strategic compliance action plan using risk-based approach covering all businesses and functions taking into consideration of business needs and external environment
• Advice to comply with policies and procedures related to Compliance including recommendations/ enhancement / modifications as required.
• Monitor Compliance action plan for the assigned Group/Divisions taking into consideration any specific regulatory requirements
• Ensure proper advices, reporting, monitoring & Controls of all actions initiated with Group/Divisions.
• By clearly understanding the regulatory requirements as and when communicated by the relevant departments
• By following laid down Policies / Procedures for mitigation / detection of Compliance, ML & TF Risks.
• Ensure that all new and existing regulatory requirements are clearly and effectively communicated to Business/Support functions and listed within the Compliance Matrix and gets updated frequently.
• Work closely with Business/Support functions and senior management to identify key non-compliance risks and develop an action plans and monitor progress.
• Monitor the result of the compliance training program and ensure promoting compliance culture and provide proactive advisory to staff and management in respect of regulatory, reputation and ethical issues and support with proper interpretation and guidance of regulations.
• Review and approve the company’s new and revised policies, procedures, manuals and framework to incorporate the relevant rules and regulations and recommend a comprehensive monitoring mechanisms and controls as deemed necessary.
• Managing the relationship with regulators and preparing reports to the Compliance & Audit Committees and Board of Directors. Submit regular mandated reports and required notifications to the regulators within stated timeframe.
• Review and approve the release or amendments of products, services, Ads materials, system enhancements, request of opening high-risk accounts and SLAs and ensure that its in-line with all relevant rules and regulations.
• Manage the process of registering and cancelation or amendments in the registration for the company’s staff within CMA website, and represent ANB Invest on all compliance issues with external parties, such as correspondent organizations and the regulator.
• Maintenance of CRSA Gaps and conducting tests as required, coordinate to ensure proper implementation of FATCA requirements within the company.
• Review the company’s new and revised policies, procedures, manuals and framework to incorporate the relevant rules and regulations and recommend a comprehensive monitoring mechanisms and controls as deemed necessary.
• Provide brokerage services such as shares, places clients orders in shares, bonds.
• Maintain contact with regional financial institutions.
• Provide input regarding investment product procedures.
• Monitoring and reviewing portfolios.
• Communication of company’s management of any errors deficiency in services and issues that might affect business.