Feroz Rana

Conducting sanction reviews on clients with exposure to high risk countries and providing my findings in a report

Providing sanctions advice to stakeholders internal and external

Investigations via open source using a variety of tools – World Check, Dow Jones, google.

Conducting investigations on high risk transaction involving trade and aircraft finance

Regularly updating various stakeholders on changes within sanctions

Providing risk-based decisions in risk rating clients – high, non-high

Develop new starters on Screening processes and completing reports

Reviewing procedures for the banks Sanctions department and updating these

Providing support to the Sanctions Director

Giving advice to the KYC team where required in relation to the onboarding/refresh reviews

Dealing with day-to-day sanction queries

Keeping up to date with OFAC, EU, UK and UN Sanction laws

Manage London office for sanctions.

Work with various range of clients such as; Banks, aircraft companies, Insurance, oil companies etc.

Making decisions on further controls on high-risk clients e.g. add onto our internal watchlist

Investigating alerts generated by the sanction screening system

Conducting 4 eye checks on 2 eyes sanction investigation

Investigations via google, world check, dow jones and factiva

PEP, Adverse news and Sanctions Screening

Investigations on Sanctions exposure to high risk countries/entities/goods/vessels

Conducting team training on updates from OFAC, EU, UK and UN Sanctions

Train new starters on sanctions screening system

Update sanctions screening procedures and provide this to the team

Providing support to Team leader on monthly MI reports

Acting Sanctions Screening team lead

Supporting the CDD/KYC team in relation to onboarding and refresh reviews

L2 Sanctions Screening investigations

Conducting 4 eye checks on 2 eyes sanction investigation

Investigate alerts generated by the TM system/ in line with clients business/regular activity

Investigations via open source searching and various systems such as dow jones

Screening for PEP's, Sanctions, AML adverse news

Sanctions exposure to high risk countries/entities/goods/vessels for trade finance

Providing team updates on changes to OFAC/EU/UK/UN Sanction regimes

Reviewing procedures and updating these for transaction monitoring/Sanctions screening team

Conducting SAR investigations where required

Reviewing transaction monitoring rules and provide input on changes

Providing support to Head of Sanctions in training new staff/ MI Reports

Conducting investigations on client reviews

Conducting Sanctions/adverse media/PEP checks using Dow Jones

On boarding/reviewing customers in line with firms’ policy and guidelines

Using open-source searches, Dow Jones, Equifax, Companies House and World Check

Confirming identity of beneficial owners/directors/controller

Complete MI reports for the business

Conduct financial crime training for new staff and existing staff

Keep up to date with regulation and legislation for AML/Financial Crime

KYC Reviews

ECDD on high risk customers

KYC reports on clients providing a risk rating or to offboard

Following compliance procedures when completing all tasks

Providing support to all staff queries in relation to AML/Financial crime/Compliance Regulations

Supporting Head of Compliance/MLRO with implementing procedures

Alert Monitoring

Dealing with day-to-day client enquires

Client/Business Due Diligence

Supporting Compliance officer with file checks

Providing support to two Financial Planners (one being a chartered financial planner)

Researching Investment/Pension products for Financial Planners following compliance

Regular training on compliance procedures

Carrying out Suitability of investment advice reports in line with compliance laws

Liaising with clients and various platforms to gather information

File review checks in relation to compliance to make sure all work has been completed correctly

Keeping up to date with the financial regulations and compliance procedures.

Financial crime compliance training

Following compliance procedures when completing all tasks

Dealing with day-to-day client enquires

Setting up new unit trust and ISA accounts, Withdrawal on ISA accounts, Valuations on ISA Accounts.

Advising the partners and Clients on amount can invest in ISA account and remaining limit.

Regular training courses on ISA investments and the FCA regulation.

Using Risk online to raise any suspicious activity on a client or partners account.

Liaising with both clients and partners about their needs with their investments.

Assisting St James wealth management with Unit Trust, ISA's and Unit Transfers.

Keeping up to date with the financial regulations and compliance procedures.

Financial crime compliance training

Assisting financial advisors with Transfer Authority, Stock Transfer forms and EBS

Assisting financial crime team with SAR and sanctions list