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 - 05.2010
Bachelor of Science - Apply Statistics
University of Reading
Reading 09.2003 - 06.2005
Skills
Regulatory Compliance Analysis
FCA Payment Firm Compliance
International Diploma: Anti Money Laundering ICA
ACAMS CAFCA — Certified AML Fintech Compliance Associate
ACAMS Certified Anti Money Laundering Specialist
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 - 05.2010
Bachelor of Science - Apply Statistics
University of Reading
09.2003 - 06.2005