Financial Crime Surveillance CV Sample

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Anu Varghese, CAMS

Manager – Financial Crime Surveillance


FCC Specialist with experience in developing and implementing compliance strategies and systems. Skilled in identifying and mitigating risks, developing and conducting training, and investigating compliance issues. Strong analytical and problem-solving skills with the ability to work independently and as part of a team.


  • Client On-boarding
  • Monitoring & Screening
  • Project Management
  • Regulatory Reporting
  • Onsite & Offsite Audits

Work Experience

Manager – Financial Crime Surveillance

Al Fardan Exchange


FCC, Sanctions & Systems Specialist

Al Rostamani International Exchange

Jul 2023

  • Implemented a range of internal and external projects to improve the quality of compliance and keep up with dynamic regulatory changes. The  efforts resulted in a significant reduction in false positives in the transaction screening and monitoring system, from 22% to 10-12%.
  • Further enhanced the system’s capabilities in screening, monitoring, and risk rating by integrating SAS AML software.
  • Developed and implemented AML framework to mitigate financial crime risk. Formulated Enterprise Wide Risk Assessment document in line with NRA.
  • Successfully managed and conducted compliance monitoring and assurance activities, ensuring timely and objective review of compliance controls and identification of compliance issues. Proactively collaborated with the relevant stakeholders to complete remediation work within required deadlines.
  • Led regulatory and external audits (with Big4 firms) and closed them with no material observations.
  • Investigated alerts and drafted SARs/STRs, ensuring effective implementation of FIU’s requests.
  • Conducted multiple trainings and awareness sessions for the team to keep them updated on regulatory changes and regulations.
  • Oversaw the transaction monitoring and screening teams, serving as an escalation point as needed

Assistant Manager Compliance

Xpress Money Services Ltd.

Feb 2021

  • Executed various Compliance projects, which enhanced the monitoring/ screening system. Suspension rate was reduced to 5 – 7% from 42%.
  • Liased with various internal & external stakeholders as the Business User for projects.Revamped the source system to accomodate various new regulatory changes.
  • Ensured smooth closure of various internal and external audits. Mitigations were introduced to the business model.
  • Ensured the AML unit timely reviews all AML alerts and exceptions are disposed of without any delays. TAT was drastically reduced without compromising on the quality.
  • Coordinated with different regulatory units across the globe (FSRA-ADGM, CBUAE,AUSTRAC, HMRC, RBI etc.) for reporting suspicious cases
  • Policies and procedure documents were drafted for initiating business in new markets.
  • Participated in new initiatives to identify compliance risks and provided support and advice to ensure compliance with regulatory requirements and other applicable international regulations.

Senior Compliance Officer

Xpress Money Services Ltd., Dubai

Mar 2018

  • Auditing the agents (onsite and offsite) in analyzing the compliance measures been adopted by the agents globally.
  • Verification of documents/World Check verification of the new agents and providing approvals for activating the agents based on compliance grounds.
  • Suspicious Transaction Reporting – raising STRs to Group Compliance after taking performing all due diligence, taking necessary approvals from the respective authorities and carry out the recommendations provided by CBUAE.

Compliance Officer

Xpress Money Services Ltd., India

Mar 2016

  • Generated daily screening reports on existing and new customers.
  • Monitored customers’ accounts’ activities to ensure consistency with their KYCs
  • Followed-up with agents on updating customers’ KYCs based on the risk-based approach


CAMS – Certified Anti money laundering Specialist


Bachelors in Mathematics

Sacred Heart College, Kerala, India

Mar 2011


  • English
  • French
  • German
  • Italian

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Understanding the Critical Role of Financial Crime Surveillance

In today’s rapidly evolving financial landscape, the role of a Financial Crime Surveillance professional has become increasingly vital in ensuring the integrity and security of financial institutions worldwide. This position demands a comprehensive understanding of financial regulations, an acute eye for detail, and a proactive approach to identifying and preventing fraudulent activities. Let’s delve deeper into the multifaceted responsibilities and requirements of a Financial Crime Surveillance professional, a role that plays a pivotal part in safeguarding the financial ecosystem.

What are the Core Responsibilities of a Financial Crime Surveillance Professional?

A Financial Crime Surveillance professional is tasked with overseeing and implementing measures to detect and prevent financial crimes within an organization. This involves a range of critical responsibilities aimed at ensuring compliance with regulatory standards and protecting the institution from risks associated with fraudulent activities. Some of the key responsibilities include:

  • Conducting thorough investigations into suspicious financial activities, identifying potential cases of fraud, money laundering, and other financial crimes.
  • Implementing advanced monitoring systems to track and analyze financial transactions, ensuring compliance with anti-money laundering (AML) and Know Your Customer (KYC) regulations.
  • Collaborating with regulatory authorities and law enforcement agencies to report any identified instances of financial crimes and to support legal actions if necessary.
  • Developing and implementing robust risk management strategies to mitigate potential threats and vulnerabilities within the financial system.
  • Regularly updating and enhancing internal policies and procedures to align with evolving regulatory requirements and industry best practices.
  • Conducting regular training sessions for employees to increase awareness and understanding of financial crime prevention measures.

Each responsibility comes with its own set of challenges, requiring a keen understanding of the financial landscape and a proactive approach to risk management.

What Skills and Qualifications are Required for a Financial Crime Surveillance Role?

To excel in the field of Financial Crime Surveillance, professionals need to possess a combination of specialized skills and qualifications that enable them to effectively identify and mitigate potential financial risks. Some of the essential requirements include:

  • A Bachelor’s or Master’s degree in Finance, Economics, or a related field, showcasing a strong foundation in financial principles and regulations.
  • Comprehensive knowledge of anti-money laundering (AML) and Know Your Customer (KYC) regulations, demonstrating a deep understanding of the legal framework governing financial transactions.
  • Proficiency in data analysis and risk assessment, enabling the professional to identify irregular patterns and potential red flags in financial activities.
  • Strong communication and collaboration skills, facilitating effective interaction with cross-functional teams and regulatory authorities.
  • An analytical mindset with a strong attention to detail, allowing for the identification of complex financial crime patterns and activities.
  • Experience in utilizing financial surveillance software and tools, demonstrating the ability to leverage technology for effective risk management and fraud detection.

Obtaining relevant certifications such as Certified Anti-Money Laundering Specialist (CAMS) or Certified Fraud Examiner (CFE) can significantly enhance one’s profile in the competitive financial crime surveillance job market.

Effective Strategies for Mitigating Financial Crime Risks

In the dynamic world of financial services, implementing effective strategies to mitigate financial crime risks is crucial for the sustainability and integrity of any institution. Here are some key strategies that can help professionals in the field of financial crime surveillance to proactively combat potential risks:

  • Investing in advanced AI-based monitoring systems that can detect and flag unusual or suspicious financial activities in real-time.
  • Conducting regular comprehensive risk assessments to identify vulnerabilities and gaps in existing risk management processes.
  • Establishing a robust internal reporting mechanism to encourage employees to report any suspicious financial activities without fear of retribution.
  • Staying updated with the latest developments in financial crime trends and regulations, ensuring that the institution’s policies and procedures remain aligned with the changing landscape.
  • Collaborating with industry peers and regulatory bodies to share insights and best practices in combating financial crimes, fostering a collective approach to risk management.
  • Conducting regular training sessions for employees at all levels to increase awareness and understanding of financial crime prevention measures and the importance of compliance.

By implementing these strategies, financial institutions can strengthen their defenses against potential financial crime risks, safeguarding their integrity and fostering trust within the financial ecosystem.

Importance of Continuous Learning in the Field of Financial Crime Surveillance

In the ever-evolving landscape of financial crime, continuous learning plays a crucial role in equipping professionals with the necessary skills and knowledge to stay ahead of emerging risks and fraudulent activities. Embracing a culture of continuous learning enables professionals to:

  • Stay updated with the latest advancements in financial surveillance technology and data analysis tools, ensuring the use of the most effective and efficient resources in identifying and preventing financial crimes.
  • Understand the evolving regulatory landscape, enabling proactive adjustments to internal policies and procedures to maintain compliance with the latest legal requirements.
  • Enhance their analytical capabilities, allowing for the effective identification of intricate financial crime patterns and the implementation of appropriate risk mitigation strategies.
  • Develop strong communication and collaboration skills, facilitating effective engagement with stakeholders and regulatory authorities in combating financial crimes.
  • Adopt a proactive approach to risk management, fostering a culture of vigilance and attentiveness to potential threats within the financial system.

Continuous learning not only enhances the capabilities of professionals in the field of financial crime surveillance but also contributes to the overall resilience and security of the financial institutions they serve.

Key Takeaways for Effective Financial Crime Surveillance

As the financial landscape continues to evolve, the role of a Financial Crime Surveillance professional remains critical in safeguarding the integrity and security of financial institutions. To excel in this role, professionals should:

  • Stay updated with the latest financial crime trends and regulatory developments to proactively identify and mitigate potential risks.
  • Invest in advanced surveillance technology and data analysis tools to enhance the institution’s ability to detect and prevent fraudulent activities.
  • Foster a culture of continuous learning and knowledge sharing within the organization to ensure all employees are equipped to identify and report potential financial crimes.
  • Collaborate with industry peers and regulatory bodies to share insights and best practices in combating financial crimes, fostering a collective approach to risk management.

By prioritizing these key takeaways, professionals can effectively contribute to the integrity and security of the financial ecosystem, ensuring the protection of both the institution and its clients.

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