Ian Keedy

• Investigated customers identified by RG and AML models, ensuring thorough examination of potential risks.
• Conducted comprehensive customer risk assessments, including scrutiny of source of wealth, and implemented measures to maintain sustainable spending levels.
• Identified and mitigated customer compliance risks through proactive account actioning, document requests, and additional checks.
• Contributed to the continuous refinement of the money laundering framework, focusing on monitoring, detection, investigation, and the Know Your Customer (KYC) process.
• Reported suspicious transactions (STRs) to relevant authorities, such as the Financial Intelligence Unit (FIU), on behalf of the Money Laundering Reporting Officer (MLRO).
• Stayed abreast of money laundering and terrorist financing issues, including policies, regulations, industry best practices, criminal typologies, and emerging trends.
• Liaised with external teams, particularly Customer Service, managing all escalations to minimize contacts and empower agents for efficient first-contact resolution.
• Provided training and support to new team members and personnel from other departments.
• Successfully investigated and resolved a high volume of customer alerts, contributing to the overall effectiveness of the AML program.
• Implemented streamlined processes for customer risk assessments, resulting in improved efficiency and accuracy.

• I help to manage the day-to-day line activities, whilst prioritising and making risk assessments using existing procedures towards achieving vital SLAs
• Ongoing feedback is essential from members of the team to help implement improvements for processes and procedures
• This includes escalations of any issues within the team which must be dealt with immediately
• Working closely with the team is of great importance to me as this leads me to motivate and coach them effectively
• Ongoing issues are reported immediately, whilst ideas and suggestions are reported in a timely manner to the Compliance Manager
• Each month the preparation and delivery of monthly billing reports are required to ensure the accounts team receives vital and correct information
• Daily/weekly and monthly reports are required by customers as per their requests and without delay
• Occasionally the IT Department required support in testing new features to raise any operational issues and possibly proposing new features/changes to the systems
• For essential quality assurance, I developed a bespoke spreadsheet to directly mirror the compliance policy of AML, and CFT
• This monitors and records an agent's work to track their KPIs
• This was sent as constructive feedback to uniquely encourage each team member
• The Compliance Manager was given feedback on all reviews and if any improvements should be given
• Flexibility is a must in this environment and is encouraged to help and support ad-hoc projects in other areas of the business.

• The first point of call for our team's compliance and due diligence queries
• My role, amongst others, included auditing the team's work and reporting to my team leader
• Training was provided on a regular basis and mentoring was required for new team members
• Working with an online start-up bank attracted a vast amount of interest from all kinds of individuals and companies attempting to be onboarded
• In the first months of operation, 90% of applicants were rejected due to false or suspicious documents
• I ensured all agents were trained to question anything and everything
• To streamline the verification process I created a spreadsheet which mirrors the bank's compliance policy
• For some actions, a prompt is given to inform the agent of the next action
• Alongside this, an email template was composed which addresses every possible scenario
• The spreadsheet and email template work harmoniously to reduce the time required for the preparation and reporting of issues
• To ensure a consistent team response I designed the company knowledge base which details procedures and provides guidance to help identify fake documents
• During my time in this role, I was chosen for an outsourced supervisory position in an investment company
• They had an urgent requirement to ensure all case files, approximately 1000, were fully compliant
• To begin with, I managed a small team of two compliance officers, this increased to five to meet tight deadlines
• I used my online skills used in the bank to transfer to a paper-based approach
• During my 12-month secondment, this gave me an invaluable education into my total approach to compliance and management.

• Thoroughly inspect KYC documents for online forex brokers
• Implement procedures and processes to mitigate risk
• When identifying forgeries they are to be reported to the department head
• Sometimes contacting clients via telephone or email is essential to determine any risk to the business
• Mentor and train new starters
• In addition, my role will expand to deal with payments of accounts and any possible issues within.

• Pensions - Calculating pensions either in person or via email/telephone, problem-solving, Excel-Word-Outlook proficiency, data management, data security, KYC verification, fraud prevention, and customer service including dealing with complaints and resolutions
• I was the only person running this department for 6000 members
• Internal Audit and Payments Officer - process claims, perform regular audits of claims to look for any possible fraudulent submissions, print reports for managers to identify trends, perform authorisation and payments.