Sign in

Manager Front Office

Newark, New Jersey, United States
April 30, 2019

Contact this candidate



Mobile: +1-917-***-****. Email:


Sumitomo Mitsui Banking Corporation New York

Consultant – Client Onboarding Group (COG) Feb 2019 – Present

Capital Markets.

Engaging internal and external clients to help facilitate the onboarding and maintenance processes.

Coordinate client / counterparty onboardings across multiple functions / units - Front Office, Compliance, AML, Operations, Legal and Tax, amongst others - all in a high pressure / time-sensitive environment.

Conduct accurate and comprehensive due diligence controls on legal entities of various characteristics - Broker-Dealers, large U.S. and Non-U.S. corporation, investment managers / advisers, hedge funds, domestic and foreign financial institutions - all of which come with their own particular set of AML risk factors.

Assess / assign risk classifications to clients / counterparties expanding their business, as well as those incoming; where applicable, remediate KYC profiles due to changes in risk factors.

Assist in the enhancement of the Client Onboarding Group Procedures and Policy to ensure that the onboarding / client maintenance process is documented, transparent, consistent, sustainable and effective.

Strong understanding of US PATRIOT Act, BSA / AML requirements (e.g. CIP requirements; CDD and EDD, PEPs), Dodd – Frank and FATCA.

Navigant Consulting Inc. New York

Consultant Dec 2018 – Jan 2019

Global Investigation & Compliance

Conducting case reviews on the banks foreign correspondent clients while following the banks existing investigative guidelines, procedures and protocols.

Escalate completed investigations and potentially suspicious activity through appropriate channels for ultimate determination

Coordinate with AML RFI teams to resolve cases flagged as potentially suspicious activity.

Assist in preparation of Suspicious Activity Reports (SAR)

Performing due diligence on banks customer’s activity to satisfy all BSA/OFAC/AML requirements.

Abide by the banks documented performance and quality standards.

Ability to understand the importance of privileged and confidential information.

Manage and complete day-to-day execution of reviews for Foreign Correspondent Banks (FCBs), Affiliate Banking.

HSBC Securities (USA) Inc. New York

Associate Sept 2016 – July 2018

Global Banking & Markets (GBM)

Executed client reviews within prescribed SLA’s

Manage and complete day-to-day execution of reviews for Foreign Correspondent Banks (FCBs), Affiliate Banks and Non – Banking Financial Institutions (NBFIs)

Completion of over 600 client activity reviews which is 40% more than the team average with minimum supervision.

Performed required KYC screening in clients by documenting and corroborating the information obtained on the client as required by HSBCs procedures.

Collaborate with client on-boarding teams in documentation and verification of KYC on boarding requirements for Affiliate Banks, FCBs and Hedge Funds.

Support Affiliate Relationship team with determination and approval of credit facilities to its Affiliate Banks.

Helped develop, test and implement a tool that improves the efficiency of the team by streamlining the process; reducing manual input, simplifying the tracking of reviews, enhance communication and ensure timely follow up and escalation of pending responses thereby providing easy access to real time Management Information (MI).

Subject matter expert on the different Global Liquidity and Cash Management (GLCM) products being analysed and the processes used to support this analysis.

Worked as a part of the Client Management Group (CMG), Financial Institutions Group (FIG) and other stakeholder groups across different regions in supporting analytics on customer transaction activity.

Review Transactional MI, transactional summaries and consolidated views of transactions through various databases and tools.

Lead internal quality meetings and ensured that all reviews done strictly adhere to HSBCs regulatory requirements.


Business Support Officer. March 2016 – August 2016

Worked closely with manager to successfully manage client accounts.

Maintained routine report of client account and advise manager on specific matters relating to client.

Maintained regular contact with client and provide timely and efficient response to all customer queries.


Finance and Accounts Officer. Nov’ 2013 – Dec’ 2014

Managed client accounts (DORI CONSTRUCTION)

Administration of accounting functions such as payroll and preparation of books of account.

Interpretation of financial information.


UNIVERSITY OF SALFORD. Manchester, United Kingdom

MSc. International Corporate Finance. Feb’ 2015 – Feb’ 2016

Concentration: Corporate Financial Strategies, International Financial Management, Risk, Regulation and Compliance.


BSc. (Hons) Accounting. 2009 – 2013

Concentration: Taxation, Audit and Investigation, Management accounting, Financial Accounting.

EDX. ORG New York

Foreign Exchange Markets: Instruments, Risks and Derivatives Feb 2018 – June 2018

Risk Management in Banking and Financial Markets.


Software: MS Office. RDC. World Check. Bloomberg. Mint. OneSource. Lexis Nexis, Alacra.

Contact this candidate