Summary
Overview
Work History
Education
Skills
Timeline
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XUXI DU

London,UK

Summary

Experienced senior financial compliance officer with history of successfully coordinating and monitoring projects between countries. Forward-thinking with extensive knowledge of Tech, Financial Compliance & Renewable industry. Actively advice clients in to streamlining operations and promote organizational efficiency. Top-tier skills in FCA compliance monitoring and operations management.

Overview

14
14
years of professional experience
3
3
Languages

Work History

Senior Compliance officer/MLRO

SwooshTransfer Ltd / WooshPay
London, United Kingdom
10.2023 - Current
  • Handled regulatory inquiries from the FCA and filed a monthly report
  • Monitored activities for conformance with legal requirements, minimising exposure to risks.
  • Completed comprehensive PEP, sanctions and adverse media screenings using applicable protocols.
  • Ensured adherence to Know Your Customer protocols, mitigating potential risks associated with new client acquisition.
  • Monitored, reviewed and analysed customer transactions for suspicious activities.
  • Enhanced compliance with regulatory standards through thorough audits.

Compliance Officer/MLRO

IPAYLINKS UK LLP
London, UK
07.2022 - 09.2023
  • Provide ongoing support to maintain and uphold the compliance program
  • Handled regulatory inquiries from FCA and filing monthly report
  • Researched, interpreted, and advised the company regarding compliance with UK laws and regulation
  • Review and update instructions for various departments on how to interpret and implement new guidelines
  • Developed action plans when needed for audit.

Senior Financial Compliance Consultant

UK Morningstar Consulting
London, UK
02.2020 - 06.2022
  • Develop projects, overseeing the setup of compliance framework in client's organisation, include:
  • Ensure that all the client's compliance documents are reviewed, appropriate compliance and risk controls are in place
  • Leading a research group and prepare a feasibility study for client's proposed UK-China cross boarder lending project
  • Track project progression and advice on follow-ups upon initiation; Identify the resources and personals required to meet project goals and objectives
  • Planned, designed, and scheduled phases for large projects
  • Assist the setup and development of Spanish crowdfunding project for a Chinese client
  • Review and coordinate required UK credit license application materials for oversea client.

Regional Manager of Business Development

Denway Recycling Ltd
High Wycombe, UK
01.2016 - 01.2020
  • Travel internationally to Saudi Arabia, Germany, Austria, Turkey etc
  • And North America
  • Managed purchasing, sales, marketing, and customer account operations efficiently
  • Negotiated price and service with UK national supplier to decrease expenses and increase profit
  • Studied latest trends to add new merchandise to lineup, improving sales revenues
  • Established relationships with key decision-makers within customer's organization to promote growth and retention.

Operations Manager

Biofuel Refineries Ltd
High Wycombe, UK
09.2011 - 09.2015
  • Worked in matrix management environment with oversight of division level managers, operations, sales, finance, human resources, safety, and compliance
  • Set enforced and optimized internal policies to maintain efficiency and responsiveness to demands
  • Identified and resolved unauthorized, unsafe, or ineffective practices by inspecting production areas regularly
  • Collaborated with process owners to refine procedures, devise best practices, and correct quality audit findings
  • Evaluated suppliers by assessing quality, timelines, and compliance of deliveries to maintain tight cost controls and maximize business operational efficiency.

Education

Master of Science - Environmental Management and Science

Oxford Brooks University
Oxford
09.2009 - 2010.05

Bachelor of Science - Apply Statistics

University of Reading
Reading
09.2003 - 2005.06

Skills

Regulatory Compliance Analysis

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Timeline

Senior Compliance officer/MLRO

SwooshTransfer Ltd / WooshPay
10.2023 - Current

Compliance Officer/MLRO

IPAYLINKS UK LLP
07.2022 - 09.2023

Senior Financial Compliance Consultant

UK Morningstar Consulting
02.2020 - 06.2022

Regional Manager of Business Development

Denway Recycling Ltd
01.2016 - 01.2020

Operations Manager

Biofuel Refineries Ltd
09.2011 - 09.2015

Master of Science - Environmental Management and Science

Oxford Brooks University
09.2009 - 2010.05

Bachelor of Science - Apply Statistics

University of Reading
09.2003 - 2005.06
XUXI DU