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Alex Cassar CV November 2015

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Alex Nicholas Cassar - Curriculum Vitae
alexncassar@ntlworld.com 07946 126869
Education & Qualifications
IAQ Certified.
BSc Honours in Sport and Exercise Management.
A Levels in Mathematics, Business Studies and Computer Science.
10 GCSE’s including French and Spanish.
Football and Tennis Coaching recognized by the FA and LTA.
Leadership and Personal Qualities
I asses available information and develop options prior to action. This is shown in my ability to analyse data
cleansing and KYC projects. I have strong presentation, communication and consultation skills as well as
investigatory and analytical skills.
I possess good stakeholder management skills and enjoy writing reports. I am a team player and adhere to
Corporate Principles and values.
Supportive and approachable manager as well as colleague. Provide easy reference training material and
guidance for colleagues and subordinates.
I have established networks in order to quickly gather relevant information. Utilising my network within the
Business Units to incorporate and collaborate data.
Make training and technical recommendations based on data gathered from quality checks whilst also
reviewing and analysing the cause of any issues to gather a better understanding and resolving the issues.
Discuss any possible Regulatory, Legal, Credit and Reputational risks that may arise from KYC Data
cleansing projects or accounts not being booked or settled correctly.
I demonstrate a contagious positive energy when working with others to help increase motivation and to help
achieve individual and team objectives.
Look to gather feedback from senior managers and colleagues in order to drive personal performance and
development.
Keep abreast of national and international regulatory environment.
Very thorough knowledge of Global KYC/AML Regulations and the research sources used to gather data.
Highly specialised in all types of entities, including High Risk Jurisdictions, PEP Entities, Trusts and SPV’s.
I am pragmatic, a problem solver and quick thinker. I am also conscientious and self-motivated. I always
endeavour to complete tasks to the highest standard.
I believe in treating everyone the way I would want to be treated and get satisfaction from helping others.
I enjoy keeping myself physically and mentally fit and take part in physical challenges, such as triathlons and
obstacle courses.
Technical & System Skills
Highly skilled in all Microsoft Office applications including Excel and Powerpoint.
Ability to create and maintain complex formulas and Pivot Tables which can be used as Reporting tools to
create MI Presentations and Statistics.
I have offered system and application training and support for global colleagues.
Work Experience
Barclays Bank PLC
(Temporary) EDD/KYB/KYC Manager / Team Specialist 10/13 - 03/14 & 07/14 - Current
Financial Institutions EDD Project - Correspondent Banking Remediation
• Completing KYC Remediation on Correspondent Banks; including High Risk Jurisdictions
• Full screening of related parties and producing documentation packages
• Undertaking proportionate and appropriate enhanced due diligence on high risk clients in
accordance with the EDD Procedure
• Quality Assurance on completed KYC files
• Sanctions and PEP reviews where applicable
• Escalation of any Sanction or PEP concerns to FI AML Compliance
• Understanding and creating structure charts for all Banks; including Trust structures
• Ad-hoc tasks in relation to FI Compliance
• Creating Training Procedures for FI EDD
0 Lead role in conducting and producing training guides and accreditation packs for new Permanent
team
• Liaise with Relationship Managers and Senior Stakeholders in regards to understanding and
completing EDD
RBC Europe Ltd
(Temporary) KYC Remediation Specialist 03/14 - 07/14
In line with RBC UK Client Due Diligence Policies and Procedures, responsible for performing the client due
diligence checks and the FSA Customer Categorisation on the population.
New York Branch Remediation
PEP Reviews and escalation
Quality Assurance
Contact person for outsourced consultants (Cognizant) to assist with KYC queries and processes
SMBC Nikko Capital Markets Limited (CM Ltd)
(Temporary) KYC Expert 06/13 – 10/13
Reporting to the Head of Compliance of CM Ltd and with liaison across the business, primary responsibilities
are for Anti Money Laundering issues, including helping to oversee the current KYC remediation project and
the on-boarding of new clients.
Responsibilities and Duties include:
• Helping to oversee the Operations Department KYC remediation programme;
• KYC risk assessments of current and new clients;
• Assisting in client classification and notification;
• Helping to review and advise on the firm’s anti-money laundering procedures and ensuring
compliance with the latest rules and guidance;
Liaising with Front Office relationship managers, Operations Departments and other Compliance Officers
within the SMBC group of companies. Other wider KYC and compliance tasking as required Attending
relevant compliance and AML meetings.
Jefferies International Limited
(Temporary between 09/10-05/11)
(Permanent between 06/11-06/13) EMEA Client On-Boarding Manager (AVP) 09/10 –06/13
• To supervise and manage the Client On-Boarding team for Jefferies International and Jefferies Bache
• Outline scopes for projects and client remediation including change management and UAT Testing,
Training and business analyst for Client Central
• Performance Management of all team members ensuring team is performing to expected levels
• Supporting all team members in achieving their goals and further education and training
• Involved in scoping out potential projects in line with FATCA, Dodd-Frank, EMIR and MiFID II
• Lead player in the integration of the Jefferies Bache New Accounts Teams into Jefferies International
• Manage and Organise the daily work, making sure all deadlines/SLA's are met to a very high standard
• In Senior Managers absence, to act as the pivotal point of contact
• Organise, Manage and Attend meetings and represent the team
• To work with Senior Manager in all activities such as Appraisals/Objective settings/New processes &
Procedures
• On-Board and approve all new EMEA clients. From Regulated FI's to Hedge Funds & SPV's
• Conduct due diligence reviews from a money-laundering perspective on Low / Medium and High risk
clients including source analysis of wealth, beneficial ownership and other risk relevant information
adhering to local regulatory requirements/guidelines
• Daily surveillance of clients’ accounts for high risk or negative information, including PEP checks
• Conduct risk assessments and investigative internal research using a variety of internet and third-party
sources
• To send out Terms Of Business and Client classification in line with FSA regulations and perform Opt
Ups where necessary
• Ensure documentation is scanned and stored in relevant files evidence all audit trails
• To perform remediation for existing Low / medium / high risk customers and related duties
• Providing/Assisting with the provision of Anti-Money Laundering related training
• Maintain and build relationships with the Front Office, Middle Office, Legal & Compliance
• Liaison with Compliance Department and the action of any ad hoc queries such as Reporting
• Respond to ad hoc requests for information from Business Area and branches in respect of Anti Money
Laundering.
• Monitor Request Queues for any new Clients
• Review and action various daily management reports
• To maintain and improve all customer reference databases
• Produce and Manage at a very high level the Management Information Statistics on a weekly and
monthly basis for submission to Operations Management and MLRO
• Supply and provide sample data and procedures for FSA & Audit review
• Compiling Updated Processes and Procedures for distribution within the firm via Sharepoint
• Advising and implementing Data Cleansing Projects and streamlining Processes
• Implementing new processes and procedures for Client On-Boarding and Data Management
• Compiling Updated Processes and Procedures for distribution within the firm via Sharepoint
• Monitoring & Maintaining Compliance KYC Reports
• Developed Monthly Reporting process and procedure for Senior Management and MLRO
• Utilising my knowledge on all forms of entities and public research tools to help educate the team when
conducting KYC Checks on Medium and High Risk Entities
• Recognition and high praise from Senior Management and MLRO for my reporting skills and work ethic
and knowledge
Lloyds Banking Group
KYC Specialist
(Temporary) Consultant 04/10 – 09/10
• Contractor specialising in KYC and AML
• KYC Retrospective Review Project for Lloyds TSB
• Investigation and Review of Lloyds Banking Group customer accounts against HMRT and OFAC
Sanctions List in accordance with FSA Regulations
• Compiling Updated Processes and Procedures for distribution within the firm via Sharepoint
• Report any suspicious account activity to MLRO
Seeking employment and claiming Job Seekers Allowance between February-April 2010
Morgan Stanley & Co International PLC
Commodities Control Specialist
(Permanent) Senior Associate 09/09 - 02/10
• Regulating and Controlling Payments in line with Segregation of Duties set out by the SEC
• Utilising settlement systems and internal client reference systems to ensure entities are fully compliant
with AML regulations.
• Management of Manual Payments and ensuring all payments are processed before cut-off.
• Collaborating with Commodity traders to ensure all trades are correctly booked as per Regulatory
control.
• Analyse and assess trade breaks in order to resolve and report issues with recommendations to
management.
Morgan Stanley & Co International PLC
Regulatory Document Specialist
(Permanent) Associate 05/08 - 08/09
• Conducting AML and MiFID certification on new clients as required by the global financial regulatory
bodies. Very strong knowledge of KYC/Client On-boarding procedures and regulatory requirements for
all legal forms of entities.
• Signing off on AML certification for all types of entities. Regulated and Unregulated entities. Trusts,
Funds, Foundations and Private clients.
• Collaborating with AML Compliance when certifying sensitive and high risk entities.
• Covering all legal forms of clients. PWM, Private and Public companies, Investment Funds, Trusts and
Foundations.
• Responsible for full PWM client certification and procedures.
• Innovatively involved in the FSA Regulatory Rolling Review project. Responsible for reviewing high risk
clients and working with Business Units in order to bring their client accounts up to date with AML
Regulations.
• Utilising external validation sources such as Banking and Finance Regulators, Stock Exchanges,
Bloomberg, Commercial Registers to gather information for AML/KYC purposes.
• Sole member of Technical support team in Europe for Business Unit users of client account opening and
approvals. Conducting training sessions with new users and updating procedures.
Morgan Stanley & Co International PLC
Regulatory Data Manager (London & Budapest)
(Permanent) Associate 09/05 - 04/08
• Management of client account database referenced by Business Units.
• Building and maintaining Business Unit relationships in order to assist them with the Client Reference
Data I was managing.
• Responsible for keeping a high standard of integrity and attention to detail of client data.
• Referencing data from external sources such as Commercial Registers, Bloomberg, Dun & Bradstreet
and Regulators in order to collaborate the data stored.
• Conducting frequent quality checks on team members and business unit users in order to identify any
further training requirements or system improvements.
• Managing and prioritising data cleansing projects arising from Regulatory requirements. Outlining the
scope and business requirements for such cleansing projects gathered from data analysis.
• Documenting processes and procedures in light of Budapest transition.
• Creating Access Queries to analyse potential inaccuracies on client data held within the database. Such
as entities missing core attributes and validation sources.
• Key player in transitioning Data Management team from London to Budapest.
• Focused and creative when training the new team in Budapest.
• Compiling Updated Processes and Procedures for distribution within the firm via Sharepoint
• Developed comprehensive training sessions for new Budapest team.
• Sole member of Technical support team in Europe for Business Unit users of client account opening and
approvals. Conducting training sessions with new users and updating procedures.
Morgan Stanley & Co International PLC
AML Retrospective Review Project 03/04 - 08/05
Temproary
• Working within a small team to conduct an AML review of over two thousand existing clients.
• Prioritising review in terms of risk and entity complexity.
• Responsible for High Risk offshore entities and reporting potential risks to Compliance.
• Research of entities gathered from existing documentation held in house and from external sources.
• Utilising global reference data websites and company search sources. High level knowledge of Banking
and Finance Regulators, Commercial Registers, Bloomberg and Stock Exchanges.
• Reporting and monitoring account activity on high risk accounts. Report activity to project manager and
AML Compliance.
References
Nicki Gibson – AVP KYC Refresh
Barclays Bank PLC
Tel +44 (0) 207 116 2183 | Mobile +44 (0)7500 783238
Steven Lander – VP EMEA Client On-Boarding
Jefferies International Ltd
07957667710

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Alex Cassar CV November 2015

  • 1. Alex Nicholas Cassar - Curriculum Vitae alexncassar@ntlworld.com 07946 126869 Education & Qualifications IAQ Certified. BSc Honours in Sport and Exercise Management. A Levels in Mathematics, Business Studies and Computer Science. 10 GCSE’s including French and Spanish. Football and Tennis Coaching recognized by the FA and LTA. Leadership and Personal Qualities I asses available information and develop options prior to action. This is shown in my ability to analyse data cleansing and KYC projects. I have strong presentation, communication and consultation skills as well as investigatory and analytical skills. I possess good stakeholder management skills and enjoy writing reports. I am a team player and adhere to Corporate Principles and values. Supportive and approachable manager as well as colleague. Provide easy reference training material and guidance for colleagues and subordinates. I have established networks in order to quickly gather relevant information. Utilising my network within the Business Units to incorporate and collaborate data. Make training and technical recommendations based on data gathered from quality checks whilst also reviewing and analysing the cause of any issues to gather a better understanding and resolving the issues. Discuss any possible Regulatory, Legal, Credit and Reputational risks that may arise from KYC Data cleansing projects or accounts not being booked or settled correctly. I demonstrate a contagious positive energy when working with others to help increase motivation and to help achieve individual and team objectives. Look to gather feedback from senior managers and colleagues in order to drive personal performance and development. Keep abreast of national and international regulatory environment. Very thorough knowledge of Global KYC/AML Regulations and the research sources used to gather data. Highly specialised in all types of entities, including High Risk Jurisdictions, PEP Entities, Trusts and SPV’s. I am pragmatic, a problem solver and quick thinker. I am also conscientious and self-motivated. I always endeavour to complete tasks to the highest standard. I believe in treating everyone the way I would want to be treated and get satisfaction from helping others. I enjoy keeping myself physically and mentally fit and take part in physical challenges, such as triathlons and obstacle courses. Technical & System Skills Highly skilled in all Microsoft Office applications including Excel and Powerpoint. Ability to create and maintain complex formulas and Pivot Tables which can be used as Reporting tools to create MI Presentations and Statistics. I have offered system and application training and support for global colleagues. Work Experience Barclays Bank PLC (Temporary) EDD/KYB/KYC Manager / Team Specialist 10/13 - 03/14 & 07/14 - Current Financial Institutions EDD Project - Correspondent Banking Remediation • Completing KYC Remediation on Correspondent Banks; including High Risk Jurisdictions • Full screening of related parties and producing documentation packages • Undertaking proportionate and appropriate enhanced due diligence on high risk clients in accordance with the EDD Procedure • Quality Assurance on completed KYC files • Sanctions and PEP reviews where applicable • Escalation of any Sanction or PEP concerns to FI AML Compliance • Understanding and creating structure charts for all Banks; including Trust structures • Ad-hoc tasks in relation to FI Compliance • Creating Training Procedures for FI EDD 0 Lead role in conducting and producing training guides and accreditation packs for new Permanent team • Liaise with Relationship Managers and Senior Stakeholders in regards to understanding and completing EDD
  • 2. RBC Europe Ltd (Temporary) KYC Remediation Specialist 03/14 - 07/14 In line with RBC UK Client Due Diligence Policies and Procedures, responsible for performing the client due diligence checks and the FSA Customer Categorisation on the population. New York Branch Remediation PEP Reviews and escalation Quality Assurance Contact person for outsourced consultants (Cognizant) to assist with KYC queries and processes SMBC Nikko Capital Markets Limited (CM Ltd) (Temporary) KYC Expert 06/13 – 10/13 Reporting to the Head of Compliance of CM Ltd and with liaison across the business, primary responsibilities are for Anti Money Laundering issues, including helping to oversee the current KYC remediation project and the on-boarding of new clients. Responsibilities and Duties include: • Helping to oversee the Operations Department KYC remediation programme; • KYC risk assessments of current and new clients; • Assisting in client classification and notification; • Helping to review and advise on the firm’s anti-money laundering procedures and ensuring compliance with the latest rules and guidance; Liaising with Front Office relationship managers, Operations Departments and other Compliance Officers within the SMBC group of companies. Other wider KYC and compliance tasking as required Attending relevant compliance and AML meetings. Jefferies International Limited (Temporary between 09/10-05/11) (Permanent between 06/11-06/13) EMEA Client On-Boarding Manager (AVP) 09/10 –06/13 • To supervise and manage the Client On-Boarding team for Jefferies International and Jefferies Bache • Outline scopes for projects and client remediation including change management and UAT Testing, Training and business analyst for Client Central • Performance Management of all team members ensuring team is performing to expected levels • Supporting all team members in achieving their goals and further education and training • Involved in scoping out potential projects in line with FATCA, Dodd-Frank, EMIR and MiFID II • Lead player in the integration of the Jefferies Bache New Accounts Teams into Jefferies International • Manage and Organise the daily work, making sure all deadlines/SLA's are met to a very high standard • In Senior Managers absence, to act as the pivotal point of contact • Organise, Manage and Attend meetings and represent the team • To work with Senior Manager in all activities such as Appraisals/Objective settings/New processes & Procedures • On-Board and approve all new EMEA clients. From Regulated FI's to Hedge Funds & SPV's • Conduct due diligence reviews from a money-laundering perspective on Low / Medium and High risk clients including source analysis of wealth, beneficial ownership and other risk relevant information adhering to local regulatory requirements/guidelines • Daily surveillance of clients’ accounts for high risk or negative information, including PEP checks • Conduct risk assessments and investigative internal research using a variety of internet and third-party sources • To send out Terms Of Business and Client classification in line with FSA regulations and perform Opt Ups where necessary • Ensure documentation is scanned and stored in relevant files evidence all audit trails • To perform remediation for existing Low / medium / high risk customers and related duties • Providing/Assisting with the provision of Anti-Money Laundering related training • Maintain and build relationships with the Front Office, Middle Office, Legal & Compliance • Liaison with Compliance Department and the action of any ad hoc queries such as Reporting • Respond to ad hoc requests for information from Business Area and branches in respect of Anti Money Laundering. • Monitor Request Queues for any new Clients • Review and action various daily management reports • To maintain and improve all customer reference databases • Produce and Manage at a very high level the Management Information Statistics on a weekly and monthly basis for submission to Operations Management and MLRO • Supply and provide sample data and procedures for FSA & Audit review • Compiling Updated Processes and Procedures for distribution within the firm via Sharepoint
  • 3. • Advising and implementing Data Cleansing Projects and streamlining Processes • Implementing new processes and procedures for Client On-Boarding and Data Management • Compiling Updated Processes and Procedures for distribution within the firm via Sharepoint • Monitoring & Maintaining Compliance KYC Reports • Developed Monthly Reporting process and procedure for Senior Management and MLRO • Utilising my knowledge on all forms of entities and public research tools to help educate the team when conducting KYC Checks on Medium and High Risk Entities • Recognition and high praise from Senior Management and MLRO for my reporting skills and work ethic and knowledge Lloyds Banking Group KYC Specialist (Temporary) Consultant 04/10 – 09/10 • Contractor specialising in KYC and AML • KYC Retrospective Review Project for Lloyds TSB • Investigation and Review of Lloyds Banking Group customer accounts against HMRT and OFAC Sanctions List in accordance with FSA Regulations • Compiling Updated Processes and Procedures for distribution within the firm via Sharepoint • Report any suspicious account activity to MLRO Seeking employment and claiming Job Seekers Allowance between February-April 2010 Morgan Stanley & Co International PLC Commodities Control Specialist (Permanent) Senior Associate 09/09 - 02/10 • Regulating and Controlling Payments in line with Segregation of Duties set out by the SEC • Utilising settlement systems and internal client reference systems to ensure entities are fully compliant with AML regulations. • Management of Manual Payments and ensuring all payments are processed before cut-off. • Collaborating with Commodity traders to ensure all trades are correctly booked as per Regulatory control. • Analyse and assess trade breaks in order to resolve and report issues with recommendations to management. Morgan Stanley & Co International PLC Regulatory Document Specialist (Permanent) Associate 05/08 - 08/09 • Conducting AML and MiFID certification on new clients as required by the global financial regulatory bodies. Very strong knowledge of KYC/Client On-boarding procedures and regulatory requirements for all legal forms of entities. • Signing off on AML certification for all types of entities. Regulated and Unregulated entities. Trusts, Funds, Foundations and Private clients. • Collaborating with AML Compliance when certifying sensitive and high risk entities. • Covering all legal forms of clients. PWM, Private and Public companies, Investment Funds, Trusts and Foundations. • Responsible for full PWM client certification and procedures. • Innovatively involved in the FSA Regulatory Rolling Review project. Responsible for reviewing high risk clients and working with Business Units in order to bring their client accounts up to date with AML Regulations. • Utilising external validation sources such as Banking and Finance Regulators, Stock Exchanges, Bloomberg, Commercial Registers to gather information for AML/KYC purposes. • Sole member of Technical support team in Europe for Business Unit users of client account opening and approvals. Conducting training sessions with new users and updating procedures. Morgan Stanley & Co International PLC Regulatory Data Manager (London & Budapest) (Permanent) Associate 09/05 - 04/08 • Management of client account database referenced by Business Units. • Building and maintaining Business Unit relationships in order to assist them with the Client Reference Data I was managing. • Responsible for keeping a high standard of integrity and attention to detail of client data. • Referencing data from external sources such as Commercial Registers, Bloomberg, Dun & Bradstreet and Regulators in order to collaborate the data stored. • Conducting frequent quality checks on team members and business unit users in order to identify any further training requirements or system improvements.
  • 4. • Managing and prioritising data cleansing projects arising from Regulatory requirements. Outlining the scope and business requirements for such cleansing projects gathered from data analysis. • Documenting processes and procedures in light of Budapest transition. • Creating Access Queries to analyse potential inaccuracies on client data held within the database. Such as entities missing core attributes and validation sources. • Key player in transitioning Data Management team from London to Budapest. • Focused and creative when training the new team in Budapest. • Compiling Updated Processes and Procedures for distribution within the firm via Sharepoint • Developed comprehensive training sessions for new Budapest team. • Sole member of Technical support team in Europe for Business Unit users of client account opening and approvals. Conducting training sessions with new users and updating procedures. Morgan Stanley & Co International PLC AML Retrospective Review Project 03/04 - 08/05 Temproary • Working within a small team to conduct an AML review of over two thousand existing clients. • Prioritising review in terms of risk and entity complexity. • Responsible for High Risk offshore entities and reporting potential risks to Compliance. • Research of entities gathered from existing documentation held in house and from external sources. • Utilising global reference data websites and company search sources. High level knowledge of Banking and Finance Regulators, Commercial Registers, Bloomberg and Stock Exchanges. • Reporting and monitoring account activity on high risk accounts. Report activity to project manager and AML Compliance. References Nicki Gibson – AVP KYC Refresh Barclays Bank PLC Tel +44 (0) 207 116 2183 | Mobile +44 (0)7500 783238 Steven Lander – VP EMEA Client On-Boarding Jefferies International Ltd 07957667710