Compliance Officer Associate Vice

Amr Sayed Diab Ali Morsy

AVP Compliance Officer

Mobile: +971*********

E-Mail : ************@*****.***

CAREER OBJECTIVE

I am seeking a long-term opportunity in a firm where I can utilize my experiences, education, and talents.

Resume summary

Growing Broker Dealer seeks an AVP-level Compliance professional to direct/supervise/manage various day-to-day aspects of the Compliance Department. The AVP will develop staff, develop policies/procedures, maintain regulatory and company manuals, and work closely with the VP of Compliance to ensure that firm policies/procedures are being followed within these areas. ACADEMIC QUALIFICATION

DIPLOMA Commerc– Egypt

PROFESSIONAL EXPERIENCE

AVP (Associate Vice President ) Compliance Officer Company: EFG HERMES

From SEP, 2007 to JAN 2015

Responsibilities:

● Develops initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.

● Develops and periodically reviews and updates Standards of Conduct to ensure relevance in providing guidance to management and employees.

● Collaborates with other departments (e.g., Risk Management, Internal Audit, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with The Legal Department as needed to resolve difficult legal compliance issues.

● Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures & Make sure that the business is complying with the regulators and the market rules and regulations.

● Transactions Monitoring, Testing of AML/CFT compliance system – to ascertain the effective of the AML/CFT system, Report on a regular basis to senior management on compliance matters, identify breaches and/or deficiencies and the corrective measures recommended and those already taken.

● Ensure that external obligations e.g. filing of statutory reports are done.

● Handle the regulators (SCA / DFSA) and the markets (DFM /ADX / Nasdaq Dubai) inspections visits and deal with their inquiries.

● Preparing & monitoring a daily reports with clients balances (debit, credit & collection) And Managing the Facilities limits (credit policy / Over Draft).

● Monitoring staff trading to make sure it’s applied with EFG-Hermes staff trading policy, markets preapproval for staff transactions & Monitoring client’s orders.

● Handling Clients Complains by Discussing the complaint with department head And following up with the client to solve his problem.

● Check the daily settlement reports to review the DVP (Delivery Verses Payment) & Non DVP Clients (High net worth / VIP).

● Handling & Reviewing all types of error reports for all Transaction.

● Approve new clients’ Account Opening forms & Make sure that the clients complete, sign an

(AOF) & using World-Check system to make sure all needed AML verifications (KYC) are applicable.

Computer SKILLS

Excellent command of Microsoft Word, PowerPoint and excel.

An excellent internet surfer to search and learn. PERSONAL Qualification

● Hard working, self-motivated, ambitious and decisive and goal oriented.

● Reliable, Trustworthy and fast learner.

● Ability to work well individually and also as an effective team member.

● Excellent interpersonal relations with the capability to clearly communicate with others at all levels.

● High intelligence, independent, creative, with a strong sense of individual purpose.

● Excellent research skills.

Training

1- Anti- fraud training for Bank staff (certificate of completion). Certified by: www.epathcampus.com online learning portals to custom E Learning courses

2-Portfolio management - Establish & Trading of investment funds.

(Certificate of attendance).

Certified by: Securities & commodities Authority (SCA). Date received certificate: 2010.

3- Anti -money laundering MENA foundation Level (certificate of recognition) Certified by: EFG-Hermes.

Date received certificate: 2009.

Languages

Arabic mother tongue.

English good speaking and writing.

PERSONAL PROFILE:

Date of Birth: Aug 1982, Cairo – Egypt

Marital Status: Married

Address : Dubai – U.A.E

Hobbies:

Reading, listening music, playing Football and attending business networking events. REFERENCES

Available upon request.

I hereby certify that all the above information’s are true and correct to the best of my knowledge.

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