Lucie Templeman-Colley

Reporting to the Deputy Head of Compliance

• Reviewed controls framework and perform gap analysis against law enforcements to ensure that compliance functions are in line with regulators expectations.
• Provided valuable insights to senior management on potential risks and control gaps identified during review.
• Delivered subject matter expertise for upper management on compliance best practices and quality control.
• Facilitated change management processes within department by effectively communicating benefits of processes or controls being introduced to mitigate risks.
• Developed comprehensive project plans with clear timelines, milestones, and ensuring timely delivery of high-quality results.
• Established effective communication among team members for enhanced collaboration and successful project completion or implementation of new processes.
• Achieved optimal results during audits and regulatory reviews by diligently preparing documentation and providing evidence of strong internal controls.
• Designed effective risk assessment strategies that helped identify areas where additional attention was needed to maintain full regulatory compliance.

Reporting to the Global Head of Financial Crime Compliance

• Developed high-performing team of 5 employees by providing mentorship, guidance, and opportunities for professional growth.
• Coordinated resources to ensure that all projects are timely deliver and to high standards.
• Developed strategic partnerships with key stakeholders to advance function goals and policy priorities.
• Represented the Global Head of FCC to key committees to ensure continuity in communication with senior management.
• Lead investigations for Suspicious Activity Reporting and other incidents, ensuring swift resolution and corrective actions when necessary.
• Used critical thinking to break down problems, evaluate solutions and make decisions.

• Increased two employees team productivity by implementing streamlined processes and effective communication strategies.
• Reviewing control frameworks across the Bank to identify control gaps and implement adequate remediation to mitigate risk associated with money laundering, terrorist financing, bribery and corruption, sanctions, fraud, facilitation of tax evasion, modern slavery and implementing new controls.
• Leading the Global Financial Crime Risk Assessment, including drafting of the methodology, scoping, performing the risks and controls mapping, creating key management information, identifying recommendations and drafting of the report.
• Leading all actions and projects coming out of the risk assessment until full implementation.
• Identified issues, analyzed information and provided solutions to problems.

• Reduced risk exposure for the company by identifying and addressing areas of noncompliance.
• Improved communication channels between departments by establishing regular meetings and reporting structures related to compliance matters.
• Enhanced overall business operations by continuously improving policies, procedures, and controls related to compliance requirements.
• Reviewed documents, files, transcripts and other records to assess compliance and potential risk.
• Analyzed and identified risk areas to determine compliance with applicable laws and regulations.

• Lead multiple simultaneous reviews and designed effective tests that identified areas where control enhancement was needed to maintain full regulatory compliance.
• Collaborated with management to develop action plans to address identified issues, fostering a proactive approach to risk management.
• Performed root cause analyses on identified issues, providing actionable recommendations for long-term improvements in business practices.
• Prepared and presented comprehensive reports to upper management, covering issues, actions taken and recommendations.
• Designed and implemented a Financial Crime Compliance Assurance Programme. Comprising the mapping of key FCC controls, drafting of more than 100 tests, drafting test sheet and report template.

• Leading multiple simultaneous audit assignments (up to 3) while managing audit teams ranging from 4 to 8 members to ascertain the execution of work in accordance with internal processes and procedures applicable, and in respect of the defined deadlines.
• Produced clear, concise audit reports that effectively communicated findings, recommendations, and required actions to stakeholders.
• Facilitated clear communication between auditors and stakeholders regarding findings, promoting transparency throughout the entire audit process.
• Improved team performance by providing ongoing training, guidance, and mentorship to junior auditors.

• Reduced risk exposure by conducting thorough audits and identifying control weaknesses.
• Contributed to the development of annual audit plans based on risk assessments and management priorities.
• Collaborated with cross-functional teams, ensuring comprehensive coverage of all key business areas during audits.
• Tracked remediation efforts for identified issues, ensuring timely resolution and improved controls.

• Supported management in developing action plans to address identified issues, promoting timely resolution of audit findings.
• Assisted in the preparation of audit reports that clearly communicated findings and recommendations to key stakeholders.
• Investigated discrepancies discovered during auditing process.