Name: NIZAM MD AMIN

Address: Building * Flat *, Jelaiah 2 Compound, Duhail, Doha, Qatar

Telephone: +974-******** and +60-193******

Email: adt468@r.postjobfree.com

LinkedIn: https://www.linkedin.com/in/nizam-md-amin-9b295529/ PROFILE

A Know Your Client (KYC) Analyst with past compliance, Anti-Money Laundering (AML) and internal audit experience in financial institutions, I have accumulated a wealth of experience in assessing the KYC practise, AML process, operational health of businesses, specialising in commercial banking, investment banking and stock markets. I am meticulous in examining the application of protocols pertaining to stringent regulations and legislation within these sectors. I ensure that sound ethical and best business operational practices are comprehensively applied to company policies and procedures and are embedded in the working culture of the company through information dissemination, training and testing from my experience in compliance and internal auditing. Protecting the security of banking operations at all levels, I ensure that in addition to integrating strict protocols, staff are monitored in their activities, including conducting checks for conflicts of interest in proprietary trading and all transactions, avoiding any possibility of market manipulation. Acknowledged as being analytical, diligent and methodical in my approach, I ensure that all risks are identified, considered and managed to provide an excellent business environment free from unethical business conduct, illegal activities and protecting the company from sanctions. I am seeking a challenging role in any business arena, where my extensive experience and eminently transferable skills set will contribute significantly and provide invaluable safeguarding in any business environment. KEY SKILLS

Specialist skill in maintaining integrity and best practice pertaining to all aspects of company operation

Proficient in assessing company capacity and performance in meeting stringent standards set by the Senior Management

Exceptional skills in risk assessment, quality assurance audit and compliance management within commercial banking, investment banking and stock market environments

Ability to write comprehensive policy and procedure documents, implementing organisation-wide procedural changes

Consummate knowledge of Malaysian financial and business legislation, regulations and codes of conduct

Excellent written and verbal communication providing high quality business and compliance reports, conveying complex information

Proactive team player with strong, supportive leadership skills

Well motivated, conscientious and target driven with an ability to organise and prioritise well

Analytical thinker and problem solver with a keen eye for detail

Fluent in English and Malay

WORK EXPERIENCE

2016 – Present Primary Carer

2014 – 2016 Deutsche Bank Malaysia Berhad

Associate Analyst, Client Onboarding (Manager)

Key Responsibilities:

Managed the KYC process and to deal with Business Unit and the Senior Management on any KYC matters.

Ensured the KYC of on-boarded clients are in compliant with the Bank global policy and specific country requirement

Ensured the KYC of accounts classified under Islamic banking are in compliant with the Bank’s shariah policies

Analysed and identified any changes to how client account is operated which trigger potential AML risk

Performed Political Exposed Person (PEP) & Sanction checks on all customers and related parties and ensured conditions imposed are fully complied with.

Reviewed on special category clients such as High Risk and PEP.

Conduct Event Driven Review on any client account as a result of negative news from any reliable source which could pose potential reputation risk to the bank.

Performed control check on subordinates works.

Provided information on potential AML risk for special category clients to Business Unit and the Senior Management on timely basis for their next course of action

Ensured all queries received by the team are responded to in a timely manner;

Ensured the turnaround time for review of clients are within the acceptable timeframe

Resolved escalated issues from stakeholders pertaining to KYC.

Participated in the design and delivery of KYC process training and orientation activities REFERENCES AVAILABLE ON REQUEST 2

Maintained delivery of a high quality service level to stakeholders ensuring any queries are dealt with in a professional manner and escalating where appropriate;

Ensured KYC rating from quality assurance check meet the bank Key Performance Index Business Coverage

Global Transaction Banking

Corporate Banking & Securities

Islamic Banking

2011 – 2014 Part Time Student and Primary Carer

Relocated to Qatar due to spouse secured a role with Qatar Petroleum. I have pursued and completed my education in Master in Islamic Finance Practise (MIFP) on part time basis. 2007 – 2011 Affin Investment Bank Berhad, Malaysia Vice President, Compliance and Supervision Division Key Responsibilities:

Assisted Senior Management in formulating and maintaining a compliance management framework, producing relevant policies and procedures that were responsive to changes in strategies and objectives and aligned with regulatory requirements and best practise

Ensured acquiescence with legal and ethical standards and regulatory requirements of organisations, including Bursa Malaysia, Securities Commission and Bank Negara

Created, managed and updated a comprehensive compliance programme that fostered a culture of best practice, moral and ethical conduct and prevention of corruption to be embedded within all aspects of business operation

Acted as the registered Compliance Officer with Securities Commission and Bursa Malaysia

Acted as the registered Money Laundering Reporting Officer (MLRO), ensuring policies, procedures and statutory requirement pertaining to AML were adhered to

Conducted risk assessments on all aspects of company operation to protect the interests of the bank, thus minimising potential legal or ethical issues arising from applications and submission to regulatory bodies and public documents

Monitored, reviewed and reported conflicts of interest in proprietary trading, staff transactions, debt capital market and corporate finance, including any possibility of market manipulation, implementing effective information barriers pursuant to Chinese walls guidelines

Managed a staff team, providing guidance in day to day tasks, conducting performance management activities and setting targets, providing appropriate feedback, mentoring and support

Developed and updated inventories of regulations, rules, practices and guidelines

Delivered compliance training, updating employees and managers on all related matters

Prepared reports to Bursa Malaysia and Securities Commission and risk management committee, raising any compliance or integrity issues for concern and risks being managed, including proprietary investment and anti-money laundering

Monitored, reviewed and reported any non-compliance in Islamic trading transaction to Shariah Committee of the bank.

Ensured the error trade on non-halal counters for Shariah trading account are withdrawn within stipulated period.

Assisted product development team in developing shariah-compliance product such as Al-Murabaha share margin financing. Business Coverage

Investment Banking

Stockbroking

2006 – 2007 Ambank (M) Berhad, Malaysia

Senior Executive, Organisation and Methods Department Key Responsibilities:

Investigated, monitored and evaluated the process flow of the banking operation on a periodic basis

Analysed the results, recommending policy, procedure and process changes in areas of business operation that fell short of best practice

Analysed processes that lead to possible deficiencies in internal control in accordance with risk based approach and recommended process enhancement.

Kept abreast of changes and updates to statutory guidelines, regulations and legislation, advising Senior Management of any that affected the operation of the bank and amending the operations manual of the bank accordingly

Supported internal projects, including SME operations, hire purchase, micro financing, retail collections operations, Six Sigma implementation and e-channel payments.

Business Coverage

Retail Banking which include Islamic banking business REFERENCES AVAILABLE ON REQUEST 3

2002 – 2006 PM Securities Sdn Berhad, Malaysia

Compliance Officer, Compliance Department

Key Responsibilities:

Provided training and guidance to staff on the maintenance of integrity and compliance in all aspects of company business, including AML

Conducted a review of back office and front office operations, ensuring there was no possibility of market manipulation, insider trading or non-compliance with regulators rules, safeguarding clients' interests and assets

Assisted in the development and management of compliance policies and procedures, ensuring operations are in line with statutory legislation, regulatory requirements and ethical business practices

Performed AML functions, including detection and reporting of suspicious transactions and activities

Conducted regular reviews of the AML protocols and performed a risk assessment as required

Ensured the “Know Your Customer” principle was adhered to Business Coverage

Stockbroking

2001 – 2002 Southern Bank Berhad, Malaysia

Officer, Group Internal Audit Department

Key Responsibilities:

Planned, coordinated and conducted internal audits, individually and as part of a team

Conducted branch operations audit on deposit, loan, shariah compliant products and security

Documented the audit process, recording interviews, observations and data obtained, offering recommendations for improvement and providing follow ups to ensure suggestions were implemented

Prepared audit reports for dissemination to senior management, noting any outstanding items and proposal

Conducted quality assurance audit based on risk based approach to ensure a sound system of internal control and governance in accordance to the bank’s risk appetite. Business Coverage

Retail Banking

Unit Trust

1996 – 2000 JB Securities Sdn Berhad, Malaysia

Executive, Internal Audit Department

Key Responsibilities:

Performed generic audit function work, conducting organisational health checks, including account management, credit control, purchasing, information systems, physical and logical access control

Documented existing operations and processes, obtaining information through interviews, observation and enquiries

Identified risks and key control activities required

Suggested improvement to the audit process, including, but not limited to, automated auditing and structured self- assessment

Communicated results of audits via written reports and presentations to the senior management Business Coverage

Stockbroking

ACADEMIC QUALIFICATIONS AND CERTIFICATION

2016 Master in Islamic Finance Practise International Centre for Education in Islamic Finance 2014 Certified Anti Money Laundering Specialist (expired) Association of Certified Anti Money Laundering Specialist 2005 Rules and Regulations of Futures and Options (Module 16) Securities Commission of Malaysia 2003 Fundamental of Compliance (Module 11) Securities Commission of Malaysia 1996 Dealer's Representative Bursa Malaysia (Malaysian Stock Exchange) 1996 Bachelor of Arts in Statistics Flinders University, Adelaide, South Australia 4

1992 Australian Matriculation Programme Universiti Teknologi MARA, Shah Alam, Malaysia 1990 Malaysian Certificate of Education Grade 1 Sekolah Menengah Sains Muar, Johor, Malaysia

(equivalent to UK GCSE)

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