Jardine Monteiro

Transaction Coordination Specialist | IB - LDCM Business

• KYC Documentation Packs Creation: Spearheaded the creation of over 120+ KYC document packs for client onboarding, collaborating with front office teams to address complex KYC situations under stringent regulatory-driven remediation and tight deadlines for LBO (Leveraged Buyouts), and M&A (Mergers and Acquisitions) transactions.
• Client Onboarding & KYC Due Diligence: Conducted comprehensive reviews of client onboarding/documentation requests to support the maintenance of rigorous KYC due diligence standards for our clients.
• Client Adoption & Prioritization: Identified upcoming client adoption requirements, prioritized requests, and ensured regulation and policies were followed promptly to complete client adoption for Funding, Advisory, Markets products.
• AML Reviews: Conducted thorough AML reviews by ordering and analyzing client documents, summarizing key risks such as sanctions, PEPs, bribery and corruption, money laundering, insider trading, tax evasion and avoidance, negative media, and high-risk industries and jurisdictions identifying, assessing, and mitigate financial crime risks in a timely manner.
• KYC Advisory Onboarding: Processed business delegate approvals for KYC advisory onboarding, sourcing data from trusted external registries, exchanges, and regulators, ensuring compliance with new client adoptions, cross/multi-jurisdictional adoptions, and product extensions.
• Case Lifecycle Management: Communicated with deal teams, Lead bankers, ACO's throughout the case lifecycle, managing cases end-to-end from a KYC onboarding perspective.
• Client and Stakeholder Liaison: Liaised with clients' onboarding teams, advisers, and senior investment bankers to ensure file acceptance and completeness, updating and tracking case management tool in a timely manner.
• Documentation Management: Delivered high-quality reports, ensuring client satisfaction. Collated and updated documentation/information on client files, ensuring all documentation was updated and correct per CDD (Client Due Diligence) requirements.
• Internal Collaboration: Worked closely with internal clients, stakeholders, and relationship managers to obtain missing information and documents, ensuring completion of client files.

• Performed over 50 HIGH risk End to end AML investigation for personal customers KYC profile
• Followed up with customers to collect specific financial information and verify details for preparation of EDD forms
• Conducting transactions analysis of customers account statement to mitigate any points of concern to identify any ongoing risks or illegal activities
• Perform high level investigation for EDD clients for source of Funds and Source of wealth, transaction review and PEP review
• Acquiring Business/ACO sign off approvals once complete review is gone through 2LOD
• Provided detailed review, analysis, resolution, escalation and actionable insights of reporting suspicious activity and trends

• Company Overview: Client - Handelsbanken
• Performed over 100 periodic review and Identification and verification of Corporate and Individual client accounts, for AML and money laundering activities
• Advising and reporting to business directly on all matters relevant to financial Crime, AML, Sanctions and fraud
• Ensuring all Customers Due diligence activities are up to date and comply with Banks and Financial Regulatory policies to establish high banking standards
• Analyzing and monitoring transactional information to identify risks, suspicious activity
• High level investigation for EDD corporate and individual clients, source of Funds and Source of wealth and PEP review
• Conducting Sanction checks, adverse media and negative news screening for all corporate names, Individual through Screening databases
• Client - Handelsbanken

• Company Overview: Client - Deutsche bank - Agency- Carlisle Staffing Plc
• Review of Customer Due Diligence “CDD” on clients, in line with firm's requirement to comply with AML regulations
• Investigated client structure, Nature of business line, financial structure to identify any ML risks, Flag and investigate discrepancies in client activities where required
• Conducted screening checks on over 100 clients and their related parties for negative news, adverse media, using third party databases
• Ensuring Onboarded clients follow KYC regulation standards setup by FCA , complete routine AML & KYC sanction questionnaires and comply with banks compliance policies
• Assessed financial crime compliance risk (Fraud, AML, Sanctions and Anti-Bribery and Corruption) in context of client risk appetite
• Review and assess new CCB products for AML risk and Assist in execution of ad hoc compliance projects as required
• Client - Deutsche bank - Agency- Carlisle Staffing Plc

• Company Overview: Agency - Quantum Group
• Perform 1st line KYC reviews whilst applying risk-based approach to assess financial crime risks
• Carry out CDD and EDD investigation and remediation on client accounts
• Ensuring all bank protocols are met by customers as per FCA guidelines
• Assess if transactions or behaviour are suspicious or not, and flag risks
• Identify and assess ultimate beneficial owners within complex ownership structures
• Review any sanctions, anti-bribery & corruption nexus, and Politically Exposed Persons (PEP)
• Perform periodic and ad hoc monitoring activities as assigned
• Updating relevant Master Data sheet and systems with finding and any expired customer data
• Coordinating with branches and internal departments for KYC related issues, updates and documentations
• Agency - Quantum Group

• Monitoring, reconciling and processing of Mandatory Cash CA events and claims
• Responsible for full management of the teams BAU functions and reporting
• Daily review of team mailbox is monitored and all high priority emails and escalations are completed same day
• As part of KYC/AML Pilot process: - Setup KYC SOP and Guidelines for Onboarding of non-individual clients and apply company policy and procedures for investigation steps
• Ensuring all KPIs are met and consistently achieved for each month
• Provide technical coaching, feedback, and advice relating to Process
• Scout country registries of clients and obtain relevant documents of Ownership structure, Financials, business risk, jurisdiction for validation and authenticity
• Monitoring and maintaining service level adherence on the work completed by team and meeting client set guidelines
• Coordinated hiring, recruitment and training strategies to build successful onboarding team
• Preparing MIS reports highlighting volume, quality and findings to Onshore management

Corporate Actions Specialist | International and EMEA Markets

• Monitored, reconciled, and processed corporate action events across international and EMEA entities, ensuring accuracy and compliance.
• Validated and booked over 150 payments received via SWIFT, maintaining meticulous records and ensuring timely processing.
• Processed cash dividend and coupon interest entries for all reconciled breaks, ensuring proper allocation to relevant accounts.
• Verified cash counterparty claims and corresponding entries, leading client and onsite risk calls to address and mitigate potential issues.
• Maintained and updated files and reports, providing comprehensive weekly management reviews for informed decision-making.
• Authorized manually prepared SWIFT payments, ensuring adherence to protocols and safeguarding financial transactions.

• Managed end-to-end US corporate action events, including announcements setup, entitlement payments, and post-paydate trade and cash reconciliation.
• Handled allocation, confirmation, payment, and settlement of equity and fixed income claims with counterparties.
• Processed manual entries for wire transfer payments and researched, evaluated, and processed non-cash and cash mandatory corporate actions.
• Conducted supervisory activities such as daily reporting, performance monitoring, and preparing risk and trend analysis MIS reports for management review.