Kelechi Uguru

*** ********* ******, *******, ** *0705

631-***-****- acwta2@r.postjobfree.com

Permanent Work Authorization. No Visa Sponsorship Required.

PROFESSIONAL SUMMARY

Legal/Compliance Manager with 10+ years of experience banking, contract administration, legal, administrative, operations and regulatory compliance. Excels at team leadership, customer service, arbitration, portfolio/asset management, and project management.

Key Skills:

•

• Customer Risk Management

• Compliance

• AML investigations

• Arbitration / Mediation

• KYC, CDD, EDD, CIP processes

• Relationship Management/Customer Service

• Administrative Oversight

• Portfolio & Asset Management

• Team Leadership & Collaboration

• Banking

• Mortgages

• Computer skills: E-mailing, Windows Packaging, Microsoft Office (Word, Excel, PowerPoint)

• Languages: English, Igbo, Yoruba

PROFESSIONAL EXPERIENCE

Compliance / Operations Manager 10/2013 – Present

Media Definitions, Queens, New York

Outfit that provides promotional services to its clients. It has staff strength of 15 members.

• Conduct KYC and AML investigations on out of Jurisdiction clients to reduce the risk of Money Laundering

• Interpret and analyze policies and regulations to keep the company in line with regulatory stipulations

• Draft and reviews documents on a daily basis, while ensuring compliance of contractual terms

•Audit staff and third party vendors based on company standards and FCPA requirements to avoid regulatory scrutiny

• Establish internal policies that are compliant with relevant legislature and regulatory policies

• Advise management on requisite procedures before entering contractual relationships

• Screens contractors for adherence to Requests for Proposals (RFPs)

Regional Compliance/Legal Officer 08/2011 – 07/2013

Mainstreet Bank Limited, Lagos, Nigeria

Provides commercial banking financial services, investment banking and insurance services in the Sub-Saharan Africa region; Staff of over 2000 personnel, and branches in all 36 states in Nigeria.

• Oversaw the security documentation and perfection of 500+ loans/credit facilities hedging the bank against default.

• Supervised the conduct of KYC, AML Investigations and other due diligence procedures

• Conducted training sessions on AML compliance procedures

• Managed and nominated an average of 200 external solicitors to handle affairs of the bank.

• Monitored Client Onboarding process of CDD and EDD.

• Liaised with external audit companies on compliance issues

• Initiated investigations and enquiries in cases of non-compliance

• Established internal policies of lending, in conformity with regulatory provisions

• Formulated standards and guidelines to credits and lending procedure

Afribank Nigeria Plc, Lagos, Nigeria 05/2009 – 08/2011

Provides Commercial and investment banking services

Assistant Manager – Regional Head Legal/Compliance (North Central) (10/2010 – 08/2011)

• Formulated and advised management on credits and lending guidelines, especially on AML Investigations

• Conducted CIP KYC CDD and EDD on new customers

• Monitored policies, looking out for policy change

• Trained members of staff on new regulations and legislature

• Nominated 50+ external solicitors, and subsequently supervised them

•Proactively followed up on the perfection of all security documents in case of default in repayment

Assistant Manager – Remedial Management Department (01/2010 – 10/2010)

• Managed debt recovery activities, which included a focus on recovering delinquent accounts.

•Reconstructed accounts and executed corporate actions leading to recovery of 20% of the bank’s total exposure in fiscal year 2010

Assistant Manager – Stock Broking (08/2009 – 01/2010)

• Led diverse financial services including funds mobilization, international services, commercial banking, and credit services

• Spearheaded both capital market and money market activities

• Managed fix income transactions of roughly $2M

Assistant Manager – Custody Service Unit (Financial Institutions) (05/2009 – 08/2009)

• Served as the Principal Incubator for custodial banking services for local and global custody business

• Ensured the safe keep of financial securities, and the proper collection of income

•Managed fees earned from keeping in custody financial securities

•Administer a portfolio of custody account relationships within a specific custody business in accordance with controlling documentation and/or customer direction, Company policies and external regulations. May monitor and collect receivables, as well as invest funds.

•Open Product Accounts such has Investment Management, Custody, Trust and Brokerage accounts

•Create/set up client records, Portfolios, Statements, Affiliations, Fees, and Disbursements for new and existing relationships through Global+ / Sun Guard.

Senior Trust/Legal Officer

Afribank Trustees & Investments Ltd., Lagos, Nigeria, 11/2007 – 05/2009

Corporate Trustee under the holding of Afribank Nigeria PLC, with a team of about 50 personnel.

• Warranted that team members properly completed transaction associated with a Loan Syndication Set Up by ensuring all parties to the trust deed (lenders and borrowers) complied 100% with the terms of the transaction

• Supervised Loan syndication involving Afribank Nigeria PLC, Sterling bank PLC and Bank PHB PLC

• Created trust deeds for debenture transactions worth over $5M

EDUCATION

B.L in Nigerian Law 4/2001 – 5/2002

Nigerian Law School, Abuja, Nigeria,

Postgraduate institution that licenses law graduates in Nigeria.

• Degree evaluated by World Education Services (WES) in 2015

L.L.B (Bachelor of Law) 10/1995 – 9/2000

Abia State University, Uturu, Nigeria

Known to have one of the best Law departments in Nigeria.

• Degree evaluated as equivalent to JD in the U.S by World Education Services (WES) in 2015.

PROFESSIONAL DEVELOPMENT

ACIArb, Chartered Institute of Arbitrators UK, Nigerian Branch 2004

Very reputable institution for the training of Arbitration and other alternative dispute resolution modes

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