MUHAMMAD MANZOOR RAB

Mississauga, ON C: 647-***-****

e-mail:ac9ypy@r.postjobfree.com

Financial Professional with experience in Compliance, Risk Management, Quality Assurance and Audits

Areas of Expertise:

Anti-Money Laundering Compliance Transactional Monitoring Know Your Customer (KYC) Customer Due Diligence (CDD) Enhanced Due Diligence (EDD) Name Screening Capital Markets Hedge Funds Internal and External Audits Risk Management Quality Assurance Expert numerical and analytical skills Works Well Under Pressure Takes Initiative

PROFESSIONAL EXPERIENCE

Promontory Financial Group, an IBM Company Feb 2018 – May 2019

Team Lead - Anti Money Laundering (AML)

Worked on project associated with Financial Institution

Contributed to the activities of the AML Investigations team, ensured the entire team delivers its objectives as a whole

Demonstrated core behaviors and values including teamwork, focus, drive, and determination

Provided guidance to the AML Investigations team to ensure accurate entry made into case management system

Communicated and reported within agreed timescales

Quality Assurance - Anti Money Laundering (AML)

Performed quality assurance in accordance with AML policies and departmental procedures within established timeframes

Produced reports containing quality assurance results and associated metrics using established procedures

Provided insight into quality gaps discovered as part of the quality assurance process and ensured these gaps are communicated to appropriate management and business owners

Analyzed information gathered to develop recommendations for improvement and changes in current policies

HSBC Bank Canada Oct 2015 – Feb 2018 Manager AML -Transaction Monitoring Quality Control Reviewer

Responsible for conducting quality control reviews of completed cases and recording reasons for case returns, to allow for identifying of trends and analysis

Made the determination of whether the case warrants the filing of a STR to local regulator and ensured STRs are completed accurately and efficiently to meet local regulatory and Group requirements

Ensured that all actions taken are in accordance with written AML Program, Compliance and all affected Policies

Manager AML - Transaction Monitoring Investigations

Investigated and processed cases to agreed procedural standards required and within agreed service levels

Ensured appropriate pro-active use of internal databases, media and relevant websites to gather intelligence and identify money laundering or terrorist financing risk associated with relevant investigation subjects

Produced a high quality case file including a comprehensive narrative and recommendations as to whether or not a STR is required whether

Western Union Business Solution (WUBS) Aug 2014 – July 2015

Team Lead - Compliance & Internal Audit-KYC Remediation Corporate Clientele

Conducted specific financial reporting, accreditation, underwriting, due diligence and/or anti-money laundering analysis and reviewed the cliental status

Demonstrated analytical and problem solving skills with emphasis on accuracy and attention to detail, developed and updated risk control database

Assisted in process designed and re-engineering, operations, product management, systems development and integration, and technology alignment with business objectives

Worked collaboratively within a consulting team and with client personnel

TD Canada Trust (TD Bank) May 2014 – Aug 2014

Risk Analyst- Corporate Clientele

Reviewed financial statement, company prepare statement, notice to reader, review engagement and audit letter

Supported in the rating process, including drafting credit documents, formulating ratios, preparing spreadsheets and comparative statistics

Ensured both new and existing merchants follow all internal policies and external regulatory requirements

Citibank- Citi Hedge Fund Services- Investment Banking Nov 2012 – Jan 2014

Hedge Fund Associate

Reviewed investor documents for completeness including various Compliance with knowledge of client on boarding, Account Identification and Due Diligence Services

Processed client and investor-initiated transactions requests - subscriptions, redemptions, transfers and wires in accurate and timely manner

Responded to investor calls and assisted with various projects assignment

Canadian Imperial Bank of Commerce (CIBC) Oct 2011 – Oct 2012

Mortgage Processing Officer

Reviewed exception reports on a daily, weekly, monthly basis to make necessary corrections as required (e.g. corrections to mortgages, clear suspense accounts)

Reviewed applications to ensure completeness and accuracy of information provided; ensure information provided on the application matches information stored on the appropriate systems

Systematic approached to help the department optimize its underlying processes to achieve more efficient results

TD Canada Trust (TD Bank) May 2011 – Oct 2011

Credit Administration Officer

Strived to meet high customer service levels by processing incoming requests from internal/external Business Partners and Clients efficiently and in accordance with procedures and policies

Reviewed client’s documents for completeness including meeting AML/KYC and tax requirements

Demonstrated sound knowledge and utilize available tools and maintained departmental filing system (electronic and paper-based)

Canadian Imperial Bank of Commerce (CIBC) Jan 2011 – May 2011

Data Analyst at Intria

Established and maintained logs (encoding), reconciliations, filing, record keeping systems and ensured that all records were completed, accurate and current

Operated data entry device that verified data and prepared materials for keying, coding and printing

Verified entered data by reviewing, correcting, deleting, or re-entering data; combining data from multiple systems when information is completed; purging files to eliminate duplication of data

Ghulam Faruque Group July 2008 – Feb 2010

Manager Internal Audit-Group Auditor

Analysed operational and management processes for effectiveness and efficiency and proposed value-added recommendations

Reported to both the audit committee and management on the policies and activities of the department

Conducted investigations of suspected improprieties in a confidential and professional manner

Muller & Phipps May 2006 – June 2008

Manager Internal Audit

Monitored the operational activities of 45 locations in Pakistan and lead the branch audit through periodic visits at the locations and supervised from three to four professional staff

Data Analysis and evaluated accounting systems to determine their efficiency and effectiveness and established process flows to identify potential areas of risk

Completed audit reports for dissemination to management and ensured proper follow up of outstanding items and recommendations

EDUCATION AND QUALIFICATIONS

MSc- Finance & Accounting

London South Bank University – London, UK

International Accounting & Finance Professionals

Ryerson University – Toronto, Canada

F.P.F.A – Fellow Public Finance Accountants

Pakistan Institute of Public Finance Accountants

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