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Compliance Specialist

cvmango ID: 5670

Tento uchádzač ešte nebol spohovorovaný / This applicant has not been interviewed yet

Pracovné skúsenosti / Work experiences
07/2017 - present

Compliance & AML Expert

Zameranie spoločnosti: Bank

  • KYC/CDD and AML on-boarding responsibilities, daily support to retail and corporate segments, risk client process definition and change requests, methodology and policies, cooperation with local AML regulators
  • business implementation of a new AML Risk software solution focused on customer on-boarding, due diligence, non-financial risk CDD model, SWIFT/SEPA real-time and batch transaction screening, customer suspicious behaviour detection, ISINs screening, requirements gathering
  • collection and setting up new process workflows; change requests - business co-owner
  • business-as-usual advisory, policies review and controls in the areas of KYC/AML, MiFID, MAR and PRIIPs Investor Protection and Product Approval Process (investment certificates and OTC derivatives) as well as in International Trade Controls, Sanctions and Embargoes, FATCA/CRS (AEOI), DAC6, BEPS, ATAP, FATF Funds Transfer Regulation, PSD2, Correspondent Banking and Financial Institutions for retail, corporate and institutional business stakeholders in Trade Finance and Documentary Business, Treasury, Loan Facilities, Payments/Settlement and Custody
  • US FATCA and CRS (AEOI) - local Slovak Banking Association FATCA/CRS (AEOI) working group member;

01/2017 - 06/2017

AML Compliance Officer

Zameranie spoločnosti: Bank

  • implementation of new Cyber Fraud AML Risk solution (business requirements, data mapping, process, interfaces - business co-owner;
  • business-as-usual advisory, policies review and controls in KYC/AML, International Trade Controls, Sanctions and Embargoes, FATCA/CRS (AEOI), FATF Funds Transfer Regulation, PSD2, Correspondent Banking and Financial Institutions for retail, corporate and institutional business stakeholders in Trade Finance and Documentary Business, Treasury, Loan Facilities, Payments/Settlement and Custody

11/1999 - 12/2016

Compliance & AML Specialist Head of Treasury Middle Office / Treasury Middle Office - Senior Analyst / Financial Institutions / Senior RM

Zameranie spoločnosti: Bank

Compliance & AML Specialist (02/2013 - 12/2016)

  • US FATCA and OECD CRS on-boarding/remediation and reporting/withholding end-to-end legislation (IGA1 and US Final Regs)
  • requirements implementation and responsibilities, business-as-usual and dayto-day advisory to both retail and corporate client segments
  • reporting requirements definitions and data elements mapping, change management process, a local Slovak Banking Association FATCA working group member, a pilot of Agile-like IT development taking role of product owner, user acceptance tests, production roll-out, internal workflows and policies, trainings
  • business implementation of new Cyber Fraud AML Risk solution focused on client on-boarding, due diligence, SWIFT/SEPA real-time and batch transaction screening, customer suspicious behaviour detection, requirements gathering, collection and setting up new process workflows; change requests
  • KYC/CDD and AML on-boarding responsibilities, daily support to retail and corporate segments, risk client process definition and change requests, methodology and policies
  • Financial Institutions’ KYC/AML on-boarding procedures, internal policies and control, business support
  • international Trade Controls and Economic Sanctions implementation (payment, trade finance and transferable securities/custody area), data mapping, transaction screening, policies and group projects, business-as-usual and day-today advisory to retail, corporate, trade finance and treasury client segments;
  • MiFID II, MAD II & PRIIPS project member, business mapping and implementation of Market Abuse Directive detection software; business-asusual and day-to-day advisory to Treasury about investor protection and capital market product approvals; Market Abuse, Trade Surveillance and Inside Trading scenarios customization and alerts handling; MAD policy and legislation
  • business implementation of Norkom 6.1. (BAE-Dettica) – business data mapping; CDD automatic calculation algorithm implementation; customization of detection scenarios and parameters; user acceptance tests; production rollout;
  • US Dodd-Frank Volcker Rule and EU Short Selling Regulation implementation, internal policy and control, business support
  • local SWIFT KYC Registry implementation and SEPA AML detection reports

Head of Treasury Middle Office (03/2012 - 01/2013)

  • managing a team of 6 partners covering critical support areas for Customer Sales and Treasury Trading Desks including workflows, products, client and legal documentation, controlling and management information systems, static data management and business continuity procedures

Treasury Middle Office - Senior Analyst (05/2005 - 03/2012)

  • product management support and co-ordination in implementing new financial market products in collaboration with Legal, Credit and Market Risk, Back Office, Accounting, Sales/Trading, system testing, internal process and regulations, regulatory authorities
  • co-ordination of banking licence extension procedures with financial instruments such as emission allowances, credit default swaps or commodity swaps and options; derivatives documentation review such as ISDA/ISMA/GMRA Master Agreements
  • TARGET2 and EUR conversion team, participation in client-driven management,business and legislation-driven initiatives and regulations such as SSR, EMIR, MiFID, FATCA, FTT, Liikaneen
  • securities and FX static data management in Treasury systems
  • ex-holder of the Bratislava Stock Exchange broker licence

Financial Institutions / Senior RM (11/1999 - 04/2005)

  • bank-to-bank business relationship management with banking entities based in Europe and Asia; Correspondent Banking; KYC/AML & US Patriot Act management
  • credit risk management and setting up of credit lines for sovereigns and banks in line with financial and non-financial analyses of the entities (e.g. a successful penetration of pharmaceutical industry through export financing into Kazakhstan or Ukraine)
  • promoting in treasury, export-import trade finance and payment processing area
  • business management of nostro/loro accounts and loan syndications granted to banking institutions in ex-Soviet countries

Vzdelanie / Education
1993 - 1998

Faculty of Economics and Management

2018

Course: Fundamentals of Islamic Banking & Finance organized by Chartered Institute for Securities & Investment

2017

Course: International Trade Controls and Economic Sanctions

.

Course: Futures and Options/Analysis and Strategies

2003 - 2004

Course: international bankers training course