Alison Wasserfall

Perform client identification and verification on the Financial Intermediary relationships, including individuals, entities, and trusts from a wide range of jurisdictions Perform Client Risk Assessments in line with the business RMCP and AML requirements Perform Client Due diligence in line with FICA requirements

KYC Remediation Specialist - Old Mutual International

(2023-08)

• Perform client identification and verification on the Financial Intermediary relationships, including individuals, entities, and trusts from a wide range of jurisdictions
• Perform Client Risk Assessments in line with the business RMCP and AML requirements
• Perform Client Due diligence in line with FICA requirements
• Request, review and update client information upon trigger events
• Performs end to end client on-boarding: document checks, data capturing, service provider account opening
• Supports the business with all aspects of data remediation
• Ensure that data quality standards are being adhered to and support the Team Leader with the review and monitoring of outstanding audit actions
• Follows standardised processes and provides administrative support in line with normal business functioning
• Provides an indirect service to customers and intermediates
• Uses standard administrative techniques to coordinate own work
• May act as mentor / resource to less experienced Administrators
• Acts as a support person and / or point of escalation for complex and difficult cases / clients
• Experience in the Isle of Man AML / KYC regulatory environment
• Strong understanding of Offshore Investments AML / Compliance Program
• Knowledge on FATCA / CRS regulations

Ops Compliance Administrator - RCS Cards (Pty) Ltd / BNP Paribas

(2020-01 - 2023-03)

• Perform investigations related to the KYC process contained in and alerted by the Instinct application during the customer onboarding process
• Perform investigations related to the KYC process contained in and alerted by the Sunfircosoft application for on book customers
• Investigate and clear all hits on PEPs and Sanction alerts
• Conduct annual reviews on PEPs, adverse media checks, reconciliations on all accounts etc.
• Escalate all investigated high-risk incidents to the Financial Security Officer/Compliance
• Submit client risk assessments to CAC (Client Acceptance Committee) Secretary for approval
• Perform all administrative tasks and ad-hoc requests related to KYC as required by the Company Financial Security Officer/Compliance
• Complete and report on all Transactional Monitoring Investigations (Unusual Payments, Foreign Payments, Credit Balance Reports, Credit Card/Loan Reports, Reactivation of Dormant Accounts) to Financial Security Officer by the required deadline
• Monitoring and managing the Compliance mailbox, promptly responding to queries, and maintaining accurate and up-to-date reports
• Review, analyse and request documentation
• Support incoming and outgoing calls from various departments, and clients
• Systems worked: Dow Jones, Vigilance, TransUnion, Vision+, Sunfircosoft, Instinct, Prime (Credit Card Sys), CAS (New applications), Avaya Multi-Media, Tracktool (AML alerts), Mobicredit

KYC/Compliance Consultant - Absa Bank Limited

(2014-10 - 2018-08)

• Confirm that identification information about a customer at on-boarding, including data, documents and records, remain accurate and current
• Identify and verify new information about a customer where changes are identified (e.g. change of address or change of industry) Initiate CASA screening and Risk profiling
• Remediate information about a customer where information was not collected at on-boarding for e.g. due to changes in Absa AML(Anti-Money Laundering) Policy or changes in regulations; confirm the source of income and source of wealth of the customer for all risk levels; review for news relating to a customer where a PEP(Politically Exposed Persons) or high risk customer has been identified; review for PEPs connected to a customer; review for any Sanctions issues related to the customer; and confi
• Liaising with bankers and middle office to ensure client compliance
• Systems worked on: CIF (Client Information), SYBRIN, KTT (Kamls Tracking Tool), DOCUFILE, ODP Records Management, Experian, XDS, CIPC, ESP (Electronic Sales Platform) and SharePoint on-boarding various entities such as Private Companies, Trusts, Close Corporation, Sole Proprietors, Private Individuals, Joint and Several, Clubs, Incorporated companies

Short Course - Compliance Management - UCT – GetSmarter (2025)

Bachelor of Commerce - Law - Regent Business School (2026-01)