Chioma Sylvia Ogundu

· Conduct quality control assessments on all proposals that go through governance and ensure that all adhere to applicable risk control frameworks, policies and procedures.

· Provide committee support to Executive and Board level risk management committees.

· Monitor the risk governance process, including pre-governance meeting discussions, record and track proposals and other matters.

· Administer and review all new product approvals and ensure that they adhere to the relevant procedures and policies.

· Handle all Risk Governance ad hoc information requests and reports.

· Advice first and second line risk teams on all risk policy and governance matters.

· Maintain policy training materials and governance presentations.

· Ensure policy compliance assurance by completing control checklists and assessments.

· Track Group Risk internal and external reviews and coordinate record keeping for Group Risk.

· Reviewing all proposals that triggers an LCH rule book change and present the final findings to the Compliance team.

· Maintain a record of policy breach’s and exceptions undergone by FLR and SLR.

· Perform ongoing monitoring and analysis of risk, identifying areas of risk exposures and escalating changes as appropriate.

· Supports ongoing review and assessment of existing and proposed methodologies, policies and best practices.

· Build and maintain the risk management reports.

· Establish and maintain the risk management framework by following risk policies and staying up to date with regulatory and industry standards.

• Enhanced policy implementation by conducting thorough research and analysis of current issues.
• Contributed to successful advocacy campaigns by preparing persuasive briefings, talking points, and presentations for internal and external audiences.

· Review and assess AML and reputational risk associated with new clients and matter requests.

· Interact with external stakeholders to collect mandatory documentation required to complete CDD successfully, reviewing and verify documentation received.

· Perform client due diligence and screening for PEPs, sanctions, disciplinaries, fines and adverse media, utilising a number of trusted industry sources.

· I started an internal initiative to create a due diligence pack for external stakeholders, this created certainty in the information LCH Ltd was providing to members and reduced the time that was being spent on answering individual due diligence questionnaires from members, clients and third parties.

· I dealt with all screening alerts and deciding on whether the matches are true or false and escalated any issues if required.

· Thoroughly document research and analysis completed on clients and/or matters in a manner suitable for review by internal and external stakeholders e.g. Regulators, Audit (Internal and External) and the AML Compliance Manager.

· Perform and review client/matter risk assessments and make risk-based decisions based on the analysis undertaken.

· I provided AML advice and support to internal stakeholders: Relationship Managers, Onboarding Team and Static Data team.

· My role involved investigating whether there are ML/CTF suspicions regarding clients and/or matters and escalate findings clearly and concisely for internal review by the AML Compliance Manager and Chief Compliance Officer.

· Manage relationships with key internal stakeholders: Management, Relationship Managers, AML Compliance Manager and MLRO.

· Acted as a point of contact for the onboarding team, onboarding new members and investment counterparties and other internal teams in order to resolve challenges timely and efficiently.

· Periodically evaluate existing members and investment counterparties to make sure all CDD and risk assessments on members and investment counterparties files are up to date.

· Assist with any other AML/KYC related matters or projects as identified and assigned by the AML Compliance Manager.

· Dealing with all external due diligence queries on LCH Ltd and making sure all questionnaires are completed and setting up meetings with external stakeholders to discuss any feedback members may have.

· Setting up SwapClear Client trading accounts using Salesforce.

· Conducting meetings with Internal and External stakeholders to discuss LCH due diligence processes.

• Aided in the maintenance of company-wide understanding of current regulations by regularly updating internal databases with the latest information from governing bodies such as FDA or EMA.
• Minimized delays in project timelines through proactive management of document revisions, updates, and follow-ups with relevant parties.
• Supported timely product approvals by efficiently coordinating and submitting high-quality regulatory documentation.
• Expedited review processes by establishing strong relationships with key stakeholders at regulatory agencies, fostering trust and collaboration.

· Conducting due diligence reports on companies that will be coming onto the AIM Market and their proposed board members, this is done using various search engines and using internal databases such as Factiva, HMT Sanctions, Google and Companies House.

· Analysis of potential qualified executives’ applications and dealing with qualified executives’ resignations.

· Dealing with company accounts and making sure that all companies have completed all requirements stated under AIM rules 18,19 and 20.

· Conducting internal audits for various procedures within the AIM Regulation team; Nomad applications, Nomad annual returns and Nomad visits.

· Dealing with Nomad visits, collaborating data over a 5-year period which shows an overview of the Nomad companies and how they have performed.

· Dealing with the FCA metrics that outline the productivity of the Primary Markets division on a quarterly basis (gathering data from the Primary Markets team, AIM Regulation, the Investigations and Enforcements team and the Markets Abuse team).

· Completing team metrics that outline the team's productivity throughout the month.

· Completing the management metrics on a monthly basis which outlines, how the AIM market has been throughout the month, outlines price movements, post and pre-admission queries, schedule one’s, early notifications and market abuse referrals, it also outlines how many investigations has been started and concluded in the month.

· Dealing with company suspensions, restorations and cancellations under rule 41 of the AIM rules.

· Updating nomad and broker changes of all AIM companies.

· Updating and creating procedural manuals for the AIM Regulation team.

· Dealing with new admissions and making sure all relevant information has been gathered for a company to be admitted to the market.

· Dealing with senior management diaries, booking meetings, booking travel and accommodation.

· Planning team events and awards.

· Reviewing customer records and bank records to determine the accuracy and uniformity of the information provided by both parties.

· Ensuring that all information is recorded in Excel, using complex data in order to review the account, and determine whether the account requires further escalation or passes the bank’s criteria.

· Investigating any discrepancies within the mortgage packages sold to customers and establishing whether there was any detriment to the customer.

· Reviewing previous checkers input into the data and ensuring that they have completed all answers and review any discrepancies with my own findings.

· Exceeding production and quality targets by being organised, methodical in my approach and having exceptional time management skills.

· Concluding on the outcomes after reviewing the account, and establishing whether each account has met the criteria set out by the bank.

· Subject Matter Expert for the Redress and Remediation department, where I managed a group of 15 trainee graduates and guided them as they transitioned into the department.

· Analysing complex and sensitive data in relation to customers Loans and Payment Protection Insurance.

· Handling confidential information, such as, customer’s loan information and account details, customer’s addresses, bank details, death certificates, insolvency and bankruptcy information.

· Excellent numerical skills, dealing with up to 18-30 loans in one single or multiple chain, in an Excel document, by inputting data for an outcome which determined the redress given to the customer.

· Exceeding targets set by management in order to help the team achieve its overall targets.

· Assessing and complying with regulations set out by the FCA, keeping up to date with the Data Protection Act, Anti-Money Laundering Laws, Competition Law and Bribery Laws.

· Dealing with new legislation in relation to the case of Plevin.

· Complying with confidential data set out by Lloyds Banking Group.