KYC Specialist

Jeremy Milner F.P.C. Int.Dip (A.M.L.) M.I.C.A.

** *** **** *********, ** Strand Street, Poole, Dorset BH15 1SB

Tel: 078**-****** Email: ************@*****.**.**

PROFESSIONAL OVERVIEW:

An experienced Financial Professional with a proven track record of success across the financial market sector in the provision of Know Your Customer (KYC) and bespoke Compliance analysis, including due diligence & identification verification coupled, with strategic administrative management control skills & knowledge to consistently improve business performances. Lateral thinker with an ability to interpret & solve complex issues, excellent communicator with strong inter personal & influencing skills

Expertise includes – KYC, compliance management, managing financial administrative processes, FCA compliance, broker relationships, client relationships, forward planning to meet tight deadlines, office management, performance management, people management, setting strategic meetings, company secretarial, duties, HR and finance activities, handling correspondence, preparing & submitting detailed information to tight deadlines.

Well versed in using MS Office suite- Windows, Word, Excel, PowerPoint & Outlook . Experience in working with KYC systems such as Regulatory web sites, a range of country registries, Bankers Almanac, one source, Reuters products Bloomberg Lexis Nexis Worldcheck etc

Knowledge of JMLSG & its recommendations, company hierarchy & beneficial ownership structures

CAREER HIGHLIGHTS

A Diploma in International Anti-Money Laundering (with Merit) - Manchester University

JP Morgan

Successfully completed KYC identify verification documentation to corporate standards

Actively involved in three remediation & refresh projects (Trade, Correspondent Banks & Non-Financial Institutions) confirming information from foreign clients were correct

Delivered consistency to case agreement from 83% to 87% as part of this major KYC Department initiative, improving QA reviews, meeting high legislative and corporate standards

Delivered due diligence for the on boarding and renewal of existing entities encompassing, funds, UCITs, SICAVS, charities, SPVs, hedge funds, Sovereign Wealth funds, regulated & non regulated financial institutions & Correspondent Banks,

BNY Mellon

Enhanced due diligence document verification including PEP & Sanction screening

Managed implementation of compliance policies across all services and products

EDD / CDD Exposure on boarding & renewal of corporate clients to unwrap beneficial ownership & determining group % structure

Towergate Partnership

Provided project management in the integration of The Folgate Group (9 trading entities) into The Towergate Partnership & gained with tight deadlines the FSA agreement for the takeover

Successfully submitted of over 90 applications relating to change in control when completing all FSA acquisitions & managed cancellation of Part IV permissions, passporting rights & Approved Persons

Complaints officer registered with the FSA as point of contact

IFM Ltd Jersey–A Trust & Provider - Compliance Manager

Ensured that the applicable statutory, regulatory & supervisory requirements were met in order to

Further developed the firm’s Procedures Manual & ensured that all internal procedures were followed, enabling the company to demonstrate that it was “Fit & proper” to undertake business

Reviewed & risk profiled all new clients to ensure that all of the internal procedures were adhered to

Managed the Compliance team, provided regular Money Laundering training to remind all staff of the Proceeds of Crime (Jersey) Law using a self-developed PowerPoint presentation.

Steered the regular meetings of the Compliance committee & reported regularly to the board

Recognised, evaluated & handled suspicious transactions, activity & relationships

CAREER EXPERIENCE:

Built & maintained internal & external relationships, building stakeholder trust & collaborated with Senior Management to facilitate high standards in development

Identified potential regulatory risk elements & strengthened compliance policy standards

Skilled in regulatory compliance, risk, governance & process improvements,

Planned actions to provide adequate confidence in quality & fit for purpose requirements

Assimilated annual and triennial compliance reviews producing appropriate reports

Training of financial staff on compliance & AML procedures & processes

CAREER HISTORY:

2015 – 2016 Career break including extensive travel Worldwide

June 2014 – October 2014 (Contractor)

KNOW YOUR CLIENT (KYC) SPECIALIST: BNY Mellon

Appointed to promote a strong compliance culture across this multinational banking and financial services organisation in accordance with regulatory / statutory requirements

Undertook client due diligence relating to on boarding and renewal of existing entities across a portfolio of clients including charities, corporations, SPVs funds trusts and other entities

August 2012 – April 2014 (Contractor)

KYC ANALYST: JP MORGAN

Responsible for ensuring JP Morgan Banking Anti-Money Laundering and Know Your Client Policy and procedures were applied consistently to all new clients and account holders

Managed ongoing maintenance of KYC requirements for existing clients and account holders, remediation, reviewing and signing off for UK and International Banking

Developed excellent working partnerships with internal and external clients, including compliance front office & entities to ensure compliance to FCA regulations

Assessed low, medium & high risk entities Exposure of corporate clients to unwrap beneficial ownership owners & determining group structure

Provided training on all aspects of KYC, including focused coaching sessions to Front Office in respect of KYC topic to rectify deteriorating trends identified through KYC management reports

Undertook client due diligence relating to on boarding and renewal of existing entities across a portfolio of clients including charities, Sovereign Wealth funds, corporations, SPVs and other entities

September 2011 – July 2012

DATA POLICIES PROJECT ASSISTANT: RNLI

Appointed to ensure consistent compliance with PCI/DSS (Payment Card Industry Data Security Standard) regulations through the application of appropriate procedures

Provided guidance to internal and external stakeholders delivering operational change

March 2005 – February 2010

COMPLIANCE & REGULATORY LIAISON OFFICER: Towergate Partnership Ltd

Responsible for delivering compliance services highlighted by Head of Compliance, submitting 90 change in control applications when completing FSA acquisitions, cancelling Part IV permissions managed passporting rights & the Approved Persons process for the whole Towergate group

Collated non-financial regulatory information for FSA return collated required information for the annual National Statics, acted as Complaints Officer for all the +100 business units.

Delivered change proposals for policy development and monitored legal and regulatory developments, assessing impact on the company & delivered advisory reports at board level

EARLIER CAREER:

Special Events Compliance Officer Securicor 2004-2005

Compliance Manager IFM Ltd Jersey Trust co., 2002-2004

Business Development Manager Lloyds TSB IFA Jersey 1997-2002

Senior Broker consultant Scottish Provident

Senior Account Executive Commercial Union

PROFESSIONAL SKILLS:

International AML law

Compliance adherence & implentation

Policy Implementation

Stakeholder Management

Collation & verification of all KYC information

Commercial Banking

PEP & Sanctions Screening

Financial Crime

A sound knowledge of the international compliance regulatory landscape

EDUCATION & TRAINING QUALIFICATIONS:

Diploma – International Anti-Money Laundering (with Merit)

Financial Planning 1,2&3 (FPC)

Jeremy Milner F.P.C. Int.Dip (A.M.L.) M.I.C.A.

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