Gracelyn Achebo-Awusu
London
Summary
A driven compliance professional with a deep understanding of the regulations and directives relevant to financial services (alternative investment funds) & other regulated industries. With strong organisational abilities, I have consistently been accountable for delivering high quality results. My adept stakeholder management skills and commitment to continuous improvement have contributed to my success. Moreover, my excellent networking and interpersonal abilities allow me to thrive both independently and collaboratively within team settings.
Overview
7
7
years of professional experience
Work History
Compliance Associate
Entrepreneur First Investment Manager
06.2023 - Current
- Reviewing internal Professional Ethics manual and advising on code of conduct, bribery, gift giving etc.
- Maintaining a comprehensive understanding of the SMCR regime and conducting fitness and propriety assessments on senior managers in accordance with regulatory
requirements - Proficiency in Limited Partnership laws and fund operations, encompassing aspects
such as carry vehicles, fund maturity etc - Strong awareness of AML/CTF vulnerabilities within securities industry and implementing robust internal controls to mitigate them, with documented effectiveness rate of 46% in mitigating these vulnerabilities.
- Collaborating with external consultants to perform gap analysis on firm's GDPR framework and successfully implementing 70% findings to reach high assurance level
- Providing compliance insight to 6 relevant teams on prospective business relationship with founders from sanctioned and high-risk jurisdictions
- Performing horizon scanning & remaining vigilant regarding strategic shifts within firm, e.g. operation in new jurisdictions, researching and providing insight on regulatory impact to CFO and Head of Compliance.
- Increasing operational efficiency by 20% via strong cross functional stakeholder management with internal teams; & also providing regulatory support in line with team strategy, services, and products
- Solely responsible for AML obligations concerning 170 investors (Individuals, SPV's/Pension Funds/Trusts/Intermediaries etc.), including conducting risk assessments and identifying Ultimate Beneficial Owners (UBOs) within complex organisational structures
Compliance Analyst
Charles Russel Speechleys
01.2022 - 05.2023
- Providing real-time interpretation of internal Compliance policies and procedures in response to roughly 30 ad hoc enquiries per week from front and middle office
- Assessing impact of new financial regulations and setting appropriate internal Compliance policies and procedures and keeping them up to date
- Completing up to 6 risk assessments and KYC reviews per day (SPV's / Limited co./LPs/LLPs/ Trusts/Estates) for new clients to determine risk of money laundering
- Reducing onboarding time by 24% for complex onboardings and responsible for finalising difficult CDD issues (High risk jurisdictions, complex shareholding structures,Trusts/Limited Companies etc.)
- Performing enhanced due diligence & Source of Wealth & Source of Funds (analysis of origin and legitimacy) reviews for high risk, high net worth individuals
- Participating in third line of defence projects such as policy work and internal CDD file & Compliance audits leading to a 35% increase in good practice & mitigating compliance risk.
Compliance Administrator
Mazars LLP
03.2019 - 11.2021
- Leading and implementing AML procedure and policy for Global Infrastructure Finance department across 3 Global Teams (EMEA/AMER/APAC).
- Ensuring adherence to best practices amidst demanding commercial pressures for increased revenue by prioritising effective stakeholder management and rigorous compliance training
- Responsible for providing insights, training and ongoing support to internal teams on relevant regulatory issues, resulting in 30% increase in staff awareness
- Analysing 40 client profiles monthly and ensuring compliance with procedures and documentation requirements; also, ensuring CDD decisions were well written & supported by research and analysis
- Strong SME expertise on CDD, EDD, PEPs, high risk jurisdictions, complex shareholdings, complex cases in EMEA with 73% accuracy confirmed by internal audits.
- Reporting to Head of Department and Senior Partners regarding regulatory issues & addressing and resolving subsequent tasks within designated timeframe
- Enhancing stakeholder engagement through close collaboration with other teams within organisation.
Compliance Support analyst
Square / Block Inc
09.2017 - 02.2018
- Worked within team of 4 in a startup environment for successful launch of CashApp
- Daily responsibilities consisted of high volume ( 40 flags per day) of transaction monitoring and PEP screening, escalating and reporting suspicious activity to MLRO
- Worked closely with Risk, Marketing & DevOps teams providing statistics on vendors which influenced business strategy and service
- Participated in weekly calls and meetings with Senior Management discussing process efficiency, including SLAs, weekly trends, functionality of software, platform integration etc resulting in 70% operational efficiency overall
- Monitored transaction activity of all merchants within Queues which were on alert for High Decline & Chargeback rates, High Gross Payment Volume GPV etc and other high risk / unusual activity.
Education
Bachelor of Science - Biomedical Science
University of Essex
10/2011 - 06.2014
Advanced Certificate - AML
ICA
08.2024
Skills
- Microsoft Excel, Word, Outlook, Airtable, Notion, Power BI
- UK, EU and Global AML Regulations, Strong working knowledge of CASS, GDPR, FATCA, PSD2, SMCR, MiFID I, MiFID II, ICARA, Sanctions by OFAC (US), OFSI (UK) & HM Treasury (HMT), Strong working knowledge of AIFMD, FSMA 2023 etc Awareness of UCITS etc
- Collaboration Skills, Project Management Skills, Problem-Solving Abilities, Analytical Skills, Attention to Detail, Adaptability, Communication Skills, Organisation, Time Management, Critical Thinking, Accountability, Negotiation, Active Listening
Timeline
Compliance Associate
Entrepreneur First Investment Manager
06.2023 - Current
Compliance Analyst
Charles Russel Speechleys
01.2022 - 05.2023
Compliance Administrator
Mazars LLP
03.2019 - 11.2021
Compliance Support analyst
Square / Block Inc
09.2017 - 02.2018
Bachelor of Science - Biomedical Science
University of Essex
10/2011 - 06.2014
Advanced Certificate - AML
ICA
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