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(Updated 2020-01-10)Paula
Dublin, Irland
Native English, Intermediate German
- Flexible on location
- Projects - Regulatory
- Experienced
Skills (31)
UAT TESTING
OFAC
ACCEPTANCE TESTING
CASH MANAGEMENT
TEST CASES
DOCUMENTATION
UAT
WORKFLOW
TECHNICAL SUPPORT
SECURITIES
USER ACCEPTANCE
FORECASTING
USER ACCEPTANCE TESTING
CUSTOMER SERVICE
AML
CUSTOMER SERVICE REPRESENTATIVE
Recruitment
STAFFING
MAPPING
OFFSHORE
BI-LINGUAL
DATA COLLECTION
LOGGING
RISK ASSESSMENT
MAINTENANCE
SUBJECT MATTER EXPERT
VERSION CONTROL
RETAIL SALES
TRANSFER AGENCY
BILINGUAL
CPD
Summary
I am currently working as a freelance contractor in the financial services sector. I have experience in the areas of Sanctions, AML/KYC, Transfer Agency (Securities/Fund Administration), Cash Management, User Acceptance Testing and procedure documentation preparation gained via my work on projects with several world leading banks. I am a Native English speaker with German language level B1. I am also an ISTBQ certified system tester and pursue continued learning and professional development via the CPD scheme (https://cpduk.co.uk/explained
Professional Experience
freelance contractor in the financial services sector
KYC, Transfer Agency
2020-01 - Present
I am currently working as a freelance contractor in the financial services sector. I have experience working on regulatory related projects in the areas of DFS504 (Name List Screening), UAT, Documentation, Sanctions, AML/KYC, Transfer Agency (Securities/Fund Administration), Cash Management,.
I am a Native English speaker with German language level B1.
I am also an ISTBQ certified system tester and pursue continued learning and professional development via the CPD scheme (https://cpduk.co.uk/explained).
Current Position: End date 18th December 2019
I am a Native English speaker with German language level B1.
I am also an ISTBQ certified system tester and pursue continued learning and professional development via the CPD scheme (https://cpduk.co.uk/explained).
Current Position: End date 18th December 2019
Consultant Global Anti Money Laundering Refresh Team
Bank of America/Merrill Lynch (BAML)
2020-01 - 2020-01
(via Adecco Recruitment) - 12th May 2014 - 23rd October 2014
Position: Consultant Global Anti Money Laundering Refresh Team
Overview:
• Carrying out Anti Money Laundering (AML/KYC) reviews on the existing fund/client base for Bank of America/Merrill Lynch globally - Point of contact for BAML 'priority' Platinum clients.
• Review of various entity types, Ltd Companies, Partnerships, Hedge Funds, SPV and Trusts etc. Review of relevant Company documentation (Cert of Inc. Memo & Arts, LPA's, Trust Deeds), ensuring correct certification etc. Investigation of Company Ownership chain etc.
• Highlighting areas of non-compliance - outlining requirements to Client Relationship Team and/or liaising with clients to obtain the outstanding documentation.
• Providing clients with assistance re any queries they may have regarding the requested information via phone/email ensuring their full understanding.
• Politically Exposed Person (PEP)/Senior Public Figure (SPF), OFAC/Negative News/Sanctions etc. Screening and review.
• Final sign off on AML/KYC system and closure of any queries etc.
• Working to daily targets ensuring both quality and quantity are achieved as set out by the Bank.
• Managing shared mailbox/phone line.
• Training of new Team Members, updating of procedures, roll out of training programme for new hires & existing staff.
Position: Consultant Global Anti Money Laundering Refresh Team
Overview:
• Carrying out Anti Money Laundering (AML/KYC) reviews on the existing fund/client base for Bank of America/Merrill Lynch globally - Point of contact for BAML 'priority' Platinum clients.
• Review of various entity types, Ltd Companies, Partnerships, Hedge Funds, SPV and Trusts etc. Review of relevant Company documentation (Cert of Inc. Memo & Arts, LPA's, Trust Deeds), ensuring correct certification etc. Investigation of Company Ownership chain etc.
• Highlighting areas of non-compliance - outlining requirements to Client Relationship Team and/or liaising with clients to obtain the outstanding documentation.
• Providing clients with assistance re any queries they may have regarding the requested information via phone/email ensuring their full understanding.
• Politically Exposed Person (PEP)/Senior Public Figure (SPF), OFAC/Negative News/Sanctions etc. Screening and review.
• Final sign off on AML/KYC system and closure of any queries etc.
• Working to daily targets ensuring both quality and quantity are achieved as set out by the Bank.
• Managing shared mailbox/phone line.
• Training of new Team Members, updating of procedures, roll out of training programme for new hires & existing staff.
Analyst - Name List Screening Team
IBM Company
2020-01 - 2020-01
Frankfurt & Berlin, Germany
Employment Dates: 8th July - 18th December 2019, 22nd May 2018 - 31st December 2018, 8th January 2018 - to 28th February 2018 & 17th October 2017 - 22nd December 2017
Overview: Software migration of the banks global name list screening process to the FircoSoft platform.
• User Acceptance Testing (UAT) Management Support - Support to the Banks NLS Team/Management during the UAT phase and preparation for the 'Go Live' of the target NLS System.
• UAT testing - Mapping process flows of the related team/departments activities. Examining existing test cases, carrying out gap analysis, creation and execution of additional test cases.
• Issue logging, tracking and escalation where necessary.
• UAT documentation - Creation and storage of all expected UAT related documentation (for presentation to regulatory authorities where required).
• UAT Training and Outreach - Creation of procedure manuals and training materials along with delivery of targeted training in relation to the new software.
• Review and prepare documentation to bring it in line with standard audit requirements.
• Oversight and organisation of the DFS504 regime on behalf of the name list screening department (ensuring appropriate coverage of all artefacts, accurate attestations (with regards to non-material, material issues), timely submission within deadline).
• Various other support tasks as instructed by the global head of name list screening.
Employment Dates: 8th July - 18th December 2019, 22nd May 2018 - 31st December 2018, 8th January 2018 - to 28th February 2018 & 17th October 2017 - 22nd December 2017
Overview: Software migration of the banks global name list screening process to the FircoSoft platform.
• User Acceptance Testing (UAT) Management Support - Support to the Banks NLS Team/Management during the UAT phase and preparation for the 'Go Live' of the target NLS System.
• UAT testing - Mapping process flows of the related team/departments activities. Examining existing test cases, carrying out gap analysis, creation and execution of additional test cases.
• Issue logging, tracking and escalation where necessary.
• UAT documentation - Creation and storage of all expected UAT related documentation (for presentation to regulatory authorities where required).
• UAT Training and Outreach - Creation of procedure manuals and training materials along with delivery of targeted training in relation to the new software.
• Review and prepare documentation to bring it in line with standard audit requirements.
• Oversight and organisation of the DFS504 regime on behalf of the name list screening department (ensuring appropriate coverage of all artefacts, accurate attestations (with regards to non-material, material issues), timely submission within deadline).
• Various other support tasks as instructed by the global head of name list screening.
Consultant, Transfer Agency, Controls & Oversight Team
via Quest Recruitment
2020-01 - 2020-01
• Ensuring local policies, processes, procedures and standards were maintained within the Operations Teams.
• Review of new fund set up on Multifonds Platform, ensuring it to be in line with client specifications, per the fund prospectus/supplement.
• Review of new fund set up on Multifonds Platform, ensuring it to be in line with client specifications, per the fund prospectus/supplement.
Consultant, Transfer Agency, Anti Money Laundering Remediation Project
Navigant Consulting
2020-01 - 2020-01
(via Michael Page Recruitment) - 13th January 2014 - 9th May 2014
Position: Consultant, Transfer Agency, Anti Money Laundering Remediation Project
Overview:
• Carrying out Anti Money Launder (AML/KYC) reviews of existing hedge funds for large US Investment Bank as part of a remediation project.
• Review of various entity types, Ltd Companies, Partnerships, Hedge Funds, SPV, and Trusts etc. Review of relevant company documentation (Cert of Inc. Memo & Arts, LPA's, Trust Deeds), ensuring correct certification etc. Investigation of Company Ownership chain etc.
• Review of client documentation/information - highlighting areas of non-compliance - and liaising with clients in order to obtain any additional information/documentation required - onshore/offshore funds, Partnerships, LLC's, SPV Blockers etc.
• Providing clients with end to end guidance/assistance of regarding issues/queries in regards to the required documentation etc. through to query resolution and final sign off upon receipt of all required information/documentation.
• Handling of general/adhoc queries via email/phone/fax.
• Working to daily targets ensuring both quality and quantity are achieved as set out by the client.
Position: Consultant, Transfer Agency, Anti Money Laundering Remediation Project
Overview:
• Carrying out Anti Money Launder (AML/KYC) reviews of existing hedge funds for large US Investment Bank as part of a remediation project.
• Review of various entity types, Ltd Companies, Partnerships, Hedge Funds, SPV, and Trusts etc. Review of relevant company documentation (Cert of Inc. Memo & Arts, LPA's, Trust Deeds), ensuring correct certification etc. Investigation of Company Ownership chain etc.
• Review of client documentation/information - highlighting areas of non-compliance - and liaising with clients in order to obtain any additional information/documentation required - onshore/offshore funds, Partnerships, LLC's, SPV Blockers etc.
• Providing clients with end to end guidance/assistance of regarding issues/queries in regards to the required documentation etc. through to query resolution and final sign off upon receipt of all required information/documentation.
• Handling of general/adhoc queries via email/phone/fax.
• Working to daily targets ensuring both quality and quantity are achieved as set out by the client.
Transfer Agency Supervisor
Lazard Global Investment Funds
2020-01 - 2020-01
• Acting as support to the team on day-to-day operational issues/projects (Team of 2 administrators).
• Management of staffing to ensure sufficient coverage for daily tasks.
• Management of staffing to ensure sufficient coverage for daily tasks.
Politically Exposed Person (PEP)/Senior Public Figure (SPF)
JP Morgan Administration Services (Ireland) Ltd/Resource Solutions
2020-01 - 2020-01
24th October 2014- 27th March 2015
Overview: This project was implemented by the Bank in order to implement and AML/KYC Refresh Policy for the banks Hedge Fund/Money Market Customers.
• Assisting with the set up and implementation of the AML/KYC Refresh Team/Process within the Registrations/AML/KYC Team in Transfer Agency.
• Creation and maintenance of related procedure documents, checklists etc.
• Evaluation of client base eligible for KYC refresh based on risk, revenue etc.
• Liaising with the Fund Manager regarding communication requirements, timelines etc.
• Carrying out Anti Money Laundering (AML/KYC) reviews on the existing fund/client base, Ltd Companies, Partnerships, Hedge Funds, SPV and Trusts etc. Review of relevant Company Documentation (Cert of Inc. Memo & Arts, LPA's, Trust Deeds), ensuring correct certification etc. Investigation of Company Ownership chain etc.
• Highlighting areas of non-compliance - outlining requirements to Client Relationship Team and/or liaising with clients and investors to obtain the outstanding documentation.
• Providing clients with assistance regarding queries relating to the requested information via phone/email ensuring their full understanding/compliance.
• Politically Exposed Person (PEP)/Senior Public Figure (SPF), OFAC/Negative News/Sanctions etc. Screening and review.
• Final sign off on AML/KYC system and closure of any queries etc.
• Completion of daily/weekly stats reports.
• Managing shared mailbox/phone line.
Overview: This project was implemented by the Bank in order to implement and AML/KYC Refresh Policy for the banks Hedge Fund/Money Market Customers.
• Assisting with the set up and implementation of the AML/KYC Refresh Team/Process within the Registrations/AML/KYC Team in Transfer Agency.
• Creation and maintenance of related procedure documents, checklists etc.
• Evaluation of client base eligible for KYC refresh based on risk, revenue etc.
• Liaising with the Fund Manager regarding communication requirements, timelines etc.
• Carrying out Anti Money Laundering (AML/KYC) reviews on the existing fund/client base, Ltd Companies, Partnerships, Hedge Funds, SPV and Trusts etc. Review of relevant Company Documentation (Cert of Inc. Memo & Arts, LPA's, Trust Deeds), ensuring correct certification etc. Investigation of Company Ownership chain etc.
• Highlighting areas of non-compliance - outlining requirements to Client Relationship Team and/or liaising with clients and investors to obtain the outstanding documentation.
• Providing clients with assistance regarding queries relating to the requested information via phone/email ensuring their full understanding/compliance.
• Politically Exposed Person (PEP)/Senior Public Figure (SPF), OFAC/Negative News/Sanctions etc. Screening and review.
• Final sign off on AML/KYC system and closure of any queries etc.
• Completion of daily/weekly stats reports.
• Managing shared mailbox/phone line.
Appleby, Estera, Asiaciti Trust
2020-01 - 2020-01
- reassignment to a project related to the banks involvement in the 'Paradise Papers' - Project was implemented by the bank in order to gauge their level of involvement in the Paradise Papers Leak.
• Investigating business relationships between the bank and the entities Appleby, Estera, Asiaciti Trust or their subsidiaries.
• Open source investigation of the entities and profile building of their structure and their links to other named entities in the papers.
• Preparing reports on each entity with findings and recommendations regarding future actions to be considered by the bank.
Past Employment:
• Investigating business relationships between the bank and the entities Appleby, Estera, Asiaciti Trust or their subsidiaries.
• Open source investigation of the entities and profile building of their structure and their links to other named entities in the papers.
• Preparing reports on each entity with findings and recommendations regarding future actions to be considered by the bank.
Past Employment:
Financial Crime Analyst
IBM Company
2020-01 - 2020-01
Austria (based within a large European Bank)
Overview: The Bank implemented this project in order to carry out a look back on all of the USD currency related transaction processed by the Group to verify adherence (or breaches) in relation to OFAC requirements.
• Review of SWIFT messages MT100-900 series effected with USD currency within a defined historical period to ensure they were processed in accordance with policies and procedures as set out by the US Government Treasury Department OFAC.
• Investigation and further escalation of potentially suspicious transactions against OFAC programmes such as Iran, Syria and Burma etc.
• Submission of requests for further information to the bank where queries are identified and carry out analysis of the information provided.
• Redaction of swift messages/related documents where applicable with relevant redaction codes.
• Set up and maintenance of Master Redaction Code spreadsheet.
Overview: The Bank implemented this project in order to carry out a look back on all of the USD currency related transaction processed by the Group to verify adherence (or breaches) in relation to OFAC requirements.
• Review of SWIFT messages MT100-900 series effected with USD currency within a defined historical period to ensure they were processed in accordance with policies and procedures as set out by the US Government Treasury Department OFAC.
• Investigation and further escalation of potentially suspicious transactions against OFAC programmes such as Iran, Syria and Burma etc.
• Submission of requests for further information to the bank where queries are identified and carry out analysis of the information provided.
• Redaction of swift messages/related documents where applicable with relevant redaction codes.
• Set up and maintenance of Master Redaction Code spreadsheet.
Principal/Analyst Global Sanctions, Embargoes and AML
IBM Company
2020-01 - 2020-01
1st Sep 2016 - 31st January 2017
Position: Principal/Analyst Global Sanctions, Embargoes and AML/KYC Compliance Risk Assessment - Paris, France (based within a large European Bank)
Overview: This project was implemented by the Bank in order for them to gain an overview of the level of Sanctions/AML/KYC/Regulatory knowledge within the group, in relation to both Group and Local Policies and Procedures, and on a wider basis understanding/adherence to requirements such as those, for example set out by OFAC. A Sanctions and AML/KYC related Questionnaire/Assessment document was created and distributed to the banks Risk Assessment Units.
• Risk Assessment on Sanctions/AML/KYC Compliance for a Domestic/International French Bank.
• Provision of support at the Project initiation phase.
• Creation and updating of the supporting documentation for distribution to the Group (Frequently Asked Questions, Presentations etc.). Ensuring document version control of both documentation and Share-point site.
• Assistance in the distribution of the Risk Assessment Questionnaires to the Units within the bank (globally) partaking in the Risk Assessment.
• Set up of a bilingual Help-Line for the assistance of the Banks Units - providing technical support, functional assistance and sanctions and embargoes expertise.
• Progress tracking, collection and review of the results of the risk assessment - collect, review and QA of the completed Questionnaires, review of the reports provided and details of potential action plans to be put in place. Highlighting of any 'red flag' issues contained within the information provided by the units and ensuring the appropriate records were kept and escalated as deemed necessary.
Position: Principal/Analyst Global Sanctions, Embargoes and AML/KYC Compliance Risk Assessment - Paris, France (based within a large European Bank)
Overview: This project was implemented by the Bank in order for them to gain an overview of the level of Sanctions/AML/KYC/Regulatory knowledge within the group, in relation to both Group and Local Policies and Procedures, and on a wider basis understanding/adherence to requirements such as those, for example set out by OFAC. A Sanctions and AML/KYC related Questionnaire/Assessment document was created and distributed to the banks Risk Assessment Units.
• Risk Assessment on Sanctions/AML/KYC Compliance for a Domestic/International French Bank.
• Provision of support at the Project initiation phase.
• Creation and updating of the supporting documentation for distribution to the Group (Frequently Asked Questions, Presentations etc.). Ensuring document version control of both documentation and Share-point site.
• Assistance in the distribution of the Risk Assessment Questionnaires to the Units within the bank (globally) partaking in the Risk Assessment.
• Set up of a bilingual Help-Line for the assistance of the Banks Units - providing technical support, functional assistance and sanctions and embargoes expertise.
• Progress tracking, collection and review of the results of the risk assessment - collect, review and QA of the completed Questionnaires, review of the reports provided and details of potential action plans to be put in place. Highlighting of any 'red flag' issues contained within the information provided by the units and ensuring the appropriate records were kept and escalated as deemed necessary.
Transfer Agency Transition Team Subject Matter Expert
IGAML
2008-10 - 2013-05
October 2008 to May 2013 (& June 2004- June 2005)
Position: Transfer Agency Transition Team Subject Matter Expert
Position: Transfer Agency Transition Team Subject Matter Expert
Business Analyst
2012-09 - 2013-05
• Working on Project Minerva - the transition of the IGAML/KYC Transfer Agency business to IFDS/State Street.
• Located onsite at the IFDS offices to implement the production and execution of UAT Test Scripts to ensure the system capabilities were sufficient to deliver the required level of service to the Invesco client base.
• Located onsite at the IFDS offices to implement the production and execution of UAT Test Scripts to ensure the system capabilities were sufficient to deliver the required level of service to the Invesco client base.
Senior Administrator
2011-08 - 2012-02
Permanent: Previous Position: Senior TA Administrator Settlements Team (August 2011 - February 2012)
Similar to my role in the Client Solutions Team the role of the Senior Administrator was one of support. Other day-to-day duties carried out on the Settlements Team were:
• Jersey Feeder Fund: Global Product and UK range of funds.
• Assistance and overview of trade placement and activity.
• Creation and calculation of daily money movements to and from our global product and UK funds.
• Maintenance of client and agent register
• Review of client AML/KYC Documentation, liaising with clients/agents concerning AML/KYC requirements.
• Payments: Global Product and UK range of funds.
• Query resolution relating to payment activity from our India office and from internal and external clients.
• Awareness of Regulatory requirement and swift escalation of any breaches to client money regulations.
• Liaising with our trustees regarding appropriation and expropriation monies to and from our fund accounts.
Historic Previous Employment:
Similar to my role in the Client Solutions Team the role of the Senior Administrator was one of support. Other day-to-day duties carried out on the Settlements Team were:
• Jersey Feeder Fund: Global Product and UK range of funds.
• Assistance and overview of trade placement and activity.
• Creation and calculation of daily money movements to and from our global product and UK funds.
• Maintenance of client and agent register
• Review of client AML/KYC Documentation, liaising with clients/agents concerning AML/KYC requirements.
• Payments: Global Product and UK range of funds.
• Query resolution relating to payment activity from our India office and from internal and external clients.
• Awareness of Regulatory requirement and swift escalation of any breaches to client money regulations.
• Liaising with our trustees regarding appropriation and expropriation monies to and from our fund accounts.
Historic Previous Employment:
Senior TA Administrator Client Solutions/Investigations Team
2008-10 - 2011-07
& March 2012 - August 2012)
• Responsible for the overall efficiency and effectiveness of the team by supporting the Team Management with the day-to-day management of their respective functions.
• The Team "go-to" person for level 1 & 2 administrators re quality assurance and complex queries and other general issues.
• Dealing with all incoming phone/written queries in a timely manner & ensuring SLA adherence. Advising clients/agents regarding documentation requirements in relation to account opening, AML/KYC, Deal placement, account closure etc.
• Review of client AML/KYC documentation - verification with relevant certifiers etc. with care taken to identify any indication of fraudulent documentation. Contact with clients/agents where necessary to outline queries or additional requirements. Escalation to Controls/Compliance Teams. Ensuring release of held distribution/redemption payments upon receipt and verification of relevant outstanding AML/KYC documentation.
• Responsible for the overall efficiency and effectiveness of the team by supporting the Team Management with the day-to-day management of their respective functions.
• The Team "go-to" person for level 1 & 2 administrators re quality assurance and complex queries and other general issues.
• Dealing with all incoming phone/written queries in a timely manner & ensuring SLA adherence. Advising clients/agents regarding documentation requirements in relation to account opening, AML/KYC, Deal placement, account closure etc.
• Review of client AML/KYC documentation - verification with relevant certifiers etc. with care taken to identify any indication of fraudulent documentation. Contact with clients/agents where necessary to outline queries or additional requirements. Escalation to Controls/Compliance Teams. Ensuring release of held distribution/redemption payments upon receipt and verification of relevant outstanding AML/KYC documentation.
Customer Service Representative
Equifax
2008-01 - 2008-09
Customer Service Representative (Data Collection)
Euroconnex (Elavon)
2006-10 - 2007-04
Invesco Global Asset Management Ltd
2004-06 - 2005-06
See above work experience with Invesco
Senior Service Representative
Citigroup
1999-06 - 2004-03
Cash Management Unit
Position: Investigator - Cash Management Unit
Position: Investigator - Cash Management Unit
Certifications
Cert
Business Studies Certificate
Certificate in Regulation
ISTQB Certified Software Tester