Assurance and Testing Program Design

Created, implemented and enhanced Assurance and Testing programs

• Developed, and delivered the Quality Assurance methodology across global and regional teams and ensured adherence to financial crime policies and requirements
• Created, enhanced and implemented a consistent testing process internationally, ensuring testing activities effectively mitigated identified risks
• Created guides, procedures, and minimum standards for periodic testing, meeting internal requirements
• Enhanced Assurance procedures and sampling guidance in line with group and industry standards, avoiding occurrences of noncompliance with existing regulations

Control Testing

Performed end to end testing of financial crime controls and processes

• Lead the testing of the global financial crime MI and reporting function on direct request of the global head of financial crime compliance
• Created testing and assurance scripts for various financial crime processes
• Tested different financial crime controls such as sanctions, KYC and transaction monitoring

Stakeholder Management

Liaised, influenced and collaborated with stakeholders at different levels

• Liaised with various stakeholders to determine meaningful key risk and performance indicators representing the effectiveness of financial crime controls
• Collaborated with different levels of stakeholders and delivered a globally aligned and consistent program in line with commitments made to senior management and stakeholdersLiaised and collaborated with internal audit to ensure the effective management of risks and controls
• Collaborated with different testing functions, shared common issues, and developed best practices resulting in a decrease of identified noncompliance situation
• Ensured the program met expectations and commitments made to senior management and external stakeholders
• Supported effective information sharing across financial crime compliance and audit
• Assisted with the interaction with the Federal Reserve Board and internal audit

Data Analysis

Identified risks and trends through data analysis

• Hold a data analytics and machine learning certificate, adopting an analytical approach to problem solving and optimisation
• Analysed and interpreted data sets and created dashboards representing control effectiveness, conveying complex information into insightful reporting to senior management
• Analysed data sets to highlight and escalate significant financial crime threats and management issues so appropriate action can be undertaken in response
• Determined meaningful key risk and performance indicators representing the effectiveness of financial crime controls
• Simplified and automated templates and processes through technical improvements, ensuring the effective use of resources and eliminated data reporting errors

Management Information

Created and refined existing MI to effectively report risks and potential issues

• Lead an EMEA wide review of the MI and reporting activities to ensure efficiency and timely communication of control coverage to senior management
• Created MI dashboards representing trends and performances, to highlight and escalate significant financial crime threats and management issues so appropriate action can be undertaken in response
• Established myself as the key point of contact on financial crime quality assurance MI and reporting
• Presented the program and progresses to different levels of senior management, ensuring alignment of expectations

Requirements Identification

Analysed regulations, policies and procedures to identify requirements applicable to financial crime controls and processes

• Highlighted significant external financial crime policy developments or lessons learned from industry in order to inform internal policies for offshoring and outsourcing processes
• Provided expertise on internal policies and regulatory requirements to multiple stakeholders across the bank ensuring compliant offshoring of financial crime controls
• Extrapolated requirements for financial crime controls from policies and procedures to build scripts to be used by quality assurance teams

Issue Management

Identified and addressed issues through tracking and analysis

• Identified issues through testing, determined root cause and remediated them through timely and effective action plans
• Tracked issues identified across assurance actions and presented them to senior management through clear MI and reporting