Compliance Risk Analyst - Wave Financial - Toronto, ON
(2022-10)
- Identification of gaps within AML program. Lead on reviews, redrafting policy and process improvement.
- Provided governance oversight to auditors, including walk-throughs of current procedures, tracking and follow-up of findings.
- Working with multiple business units during process changes, including Product, Engineering, Procurement and senior leadership.
- TPRM reviews and consultation. Lead vendor streamlining project to look at function overlap between third parties
- Oversight and governance of Wave's KYB program.
AML Analyst (Contract) - Promontory - Toronto, ON
(2021-11 - 2022-10)
- Compliance specialist role with a focus on the EDD of potential institutional investors. This involves review of identification documents, application of relevant AML/CFT regulations, CLEAR & World Check identification screenings, financial position assessments, and open source investigations.
- Compiling and submitting detailed compliance recommendation reports.
- Applying relevant procedures of the rapidly changing OFAC and international sanctions against individuals and countries associated with the Russian invasion of Ukraine. Researched associated parties and individuals to identify risk associated.
- Communicating and daily meetings with multiple business units across the company.
- Providing technical and operational support to sales representatives.
Personal & Business Banker - ANZ Bank - Wellington, NZ
(2015-05 - 2018-04)
This role was in the Specialist Team focussing on credit underwriting and assessment for consumers and small businesses. It involved often complex credit applications, refinance and restructure options, investment plans as well ongoing management of existing lending.
- Completion of AFA (Authorised Financial Advisor) course modules to ensure compliance was met
- Direct responsibility for confirming the accuracy of documents received, ensuring customer experience is exceptional, managing client pipeline, and using own discretion to approve lending up to $1.5M.
- Incident management for own and other business units within the Bank. My role often required taking ownership of client issues, resolving them, and procedural review to assess potential improvements.
Operations Analyst - Bank of New Zealand - Wellington, NZ
(2010-09 - 2012-02)
- Developing and writing policy for Business Continuity Plans, StandRd Operating Procedures, working with project managers on defining outcomes, leading business process implementations and improvements.
- Producing and disseminating Reporting daily/weekly/monthly across multiple business units.
- Working as part of Operations, but weekly liaising with Risk, Retail, Commercial, IT, and Group Leadership.
