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Third Party Compliance Manager
A versatile and industry-adaptable compliance people person with a diverse skill-set; comfortable interacting with internal stakeholders, senior management and external clients, both at local and international level. Key areas of specialism include compliance risk assessment, monitoring, thematic analysis, KYC/KYBP, Third Party Risk Management, process improvement, implementation and risk mitigation in high-risk jurisdictions. Advisory on high risk Third Parties. I attend compliance, risk events hosted by both Dow Jones and Navex Global to keep up to date with current affairs. Completed Fundamental AML Course: ManchesterCF Financial Intelligence/Dow Jones. AML Level 3 CPD Higher Distinction Certificate, AML & Financial Crime Certificate – FCA Approved: Student Academy.
- Compliance Risk Assessment, Monitoring, Testing, Reporting
- Thematic Analysis, False Positive Remediation
- Third Party Risk Management, Global Training, Stakeholder Relationship Management
- KYC/KYBP/AML/Global Sanctions Advisory, EDD
- Effective Communication (global cultures), Emotionally Intelligent
- Process Improvement and Implementation
- Tableau, Power BI, Office 365, SharePoint
- Industry-Adaptable, Versatile, B2C Sales
- Dow Jones Risk & Compliance, Navex Risk Rate, RDC
- ARM (Formerly Magique Galileo of Sword GRC)
Third Party Compliance Manager (FTC)
- Responsible for delivering a global Third-Party Due Diligence process; Third Party Risks SME.
- Compliance risk analysis, assessment, monitoring key third-party risks (Bribery and Corruption, Fraud, CTF, Money Laundering, PEPs, Modern Slavery, Conflicts of Interests, Global Sanctions Lists, OFAC).
- Stakeholder advice on global sanctioned high risk third parties prior to issue of contract
- Trained key internal stakeholders including Project Managers, Directors and Group Functions on screening process of Navex Global Risk Rate Management, Ultimate Beneficial Ownership.
- Monthly, Quarterly monitoring of Third Party Screening Process
- Advisory and monitoring of global sanctioned listed third party-related queries and conducting EDD including new staff, associates
- Reviewed policies in-line with operational standards.
- Implemented a Third Party Screening Risk Management Process and improved current compliance risk framework.
- Delivered global Third Party Screening training on third party risks, process.
- Reviewed Gifts and Hospitality Policy and process; created the Gifts and Hospitality Register including regional testing – SharePoint.
- Implemented a thematic and compliance risk assessment due to global presence in high risk jurisdictions.
- Managed and reviewed the annual compliance certification process (ISO Certification Standards 9001:2015, 14001:2015)
- Identified solutions for under-performing Investigators, ensured complaints handling process is adhered to. First-Line Support for compliance queries
- Reviewed, improved compliance process to minimise regulatory compliance risks
- Authorised compensation payments including Flight Delay Claims, liaised with AP Finance.
- Managed, trained internal stakeholder Aegis Call Centre of the complaints investigation process.
- Delivered a Compliance Database for the Compliance Department leading to process improvement
- Multi-functional; supported all areas of the department during business requirements – Compliance, Complaints Handling, Flight Delay Litigation
- Focal point for Investigator improvement; advised on areas of development – NPS (Net Promoter Score) rise from 13% to 46% in 8 months
Group Compliance Analyst (FTC)
- Improve the efficiency of compliance management system
- Compliance Risk Assessment, thematic analysis, Risk Register, Risk Level Identification and Assess using ARM.
- Compliance analysis: Anti-Bribery and Corruption; Anti-Trust and Competition; Data Protection (GDPR), Trade Sanctions (AML).
KYC/KYBP checks of potential Third Party Suppliers, Clients. Reviewing, approving high-risk clients.
- Identified AML risks such as PEPs, Risk Associates, Adverse Media, Sanctioned Countries of suppliers, suspicious activities using Dow Jones RiskCenter.
- Provided support and solutions for Managing, Finance Directors, Compliance Officers on the Compliance Risk Assessment.
- Trained Head Compliance Officers on use of the Compliance Monitoring Program (CMP).
- Liaised with Group Audit and Group Risk to identify internal investigations status’ and effectiveness of CMP
- Conducted Quarterly Compliance Risk Reporting; Prevent, Detect and React Process. Monitoring of regulatory breaches, investigations, employee training.
- Reviewed, implemented new KYC/KYBP Screening tool for the business: Dow Jones RiskCenter
- Improved the Quarterly Compliance Risk Reporting Process
- Heat Map Analysis to illustrate impact against likelihood of business entity risks
- Minimised compliance risks by improving the Compliance Risk Assessment Process
- Promoted the importance of the compliance culture during quarterly training weeks; 26% increase of knowledge, understanding of compliance modules of employees at Q1 FY 16/17
- Grew key relationships with clients – Dow Jones and EY GmbH, internal Functions
Subjects in Commercial, Immigration and Race Relations, Family, European Union, Laws of Tort, Criminal, Criminology and Criminal Justice and Property Law.
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