Chioma Okparocha

I have experience in the following:

Oversight of Compliance programs including training program:

• Regulatory Laison
• Reviewing and filing regulatory reports including SAR/STR and other regulatory scheduled reports
• Policy development and Maintenance
• Management Information Reporting
• Advising the board on regulatory changes and compliance obligations
• Transaction Monitoring & CDD
• Ensuring data protection and retention regulatory expectations are maintained
• Oversight of Audits including PSD2, AML, Safeguarding audits etc
• Oversight of Incident Response and Management and escalations
• Continuous improvement of relevant frameworks

Understanding of FCA AML Requirements:

• All FCA related regulatory rules and guidance ranging from guidance on consumer duty; wind down plan; safeguarding; psd2/3 audits; operational resilience; regulatory rules on Regulatory reporting including incident and reporting; Senior Management Arrangements, Systems and Controls; Senior Managers, and Certification Regime; COBS; FIT & PROPER TEST; Financial Crime Regulations including Money Laundering Regulations (MLRs) 2017 (as amended); POCA 2002; Terrorism Act 2000, and Counter Terrorism Act 2008; FCG - FCA guidance on ML, TF, Bribery & Corruption, Fraud, Sanctions and Breaches

• Successfully completed PSD2 audit; Safeguarding audit; AML Assurance audit- this helped the Firm to avoid regulatory scrutiny and license withdrawal (this was achieved through implementation of controls and processes that also helped that business achieve its goals (that includes both regulatory and financial objectives). Balancing regulatory rigor with commercial pragmatism to support business growth in a fast-paced cross functional environment

I am a compliance and regulatory generalist with skills, knowledge and experience in Stakeholder engagement, Compliance Management and Monitoring program including training programs, systems and controls: implementing/updating/horizon scanning and monitoring, regulatory reporting or filing/advice/driving regulatory change/guidance and drafting/amending policies/processes/procedures to and for the business including acting as champion on Consumer Duty, lead on compliance projects, and produce high level reports for the Executive committee to ensure regulatory compliance.

• BSC Psychology 
• Prince2 (Project Managemen)
• Compliance, AML and Compliance related training