Maria has ten years experience in Forensic and Financial Crime projects – Anti‑Money Laundering (KYC, EDD, CDD, PEP, SoW, SoF), Anti‑Bribery and Corruption, Fraud Risk Management and financial investigations. Maria has worked with (and on behalf of) the Bermuda Monetary Authority (BMA) on specific AML projects. She has also, worked on KYC PEPs file review for a large international bank where the client was fined by the Finance Conduct Authority (FCA) in the UK for poor handling of Financial Crime risks and KYC files. Maria has supported the Private Bankers in their requests for information from their customers and bringing the KYC files up to regulatory standards. She oversaw and QA’ed the work performed by the KPMG Analysts on site (including Source of Wealth review).
Maria has assisted with the following:
- AML KYC periodic remediation (following FCA fines) – two projects for large UK banks – managing the workstream for producing KYC reports for corporate entities – EDD (including negative news). Project 1 – overseeing the work performed by the team (around 25 people), reviewed and QA’ed 5,000 entities; Project 2 – overseeing a team of 8 with 20,000 entities reviewed over 9 months.
- Review of KYC policies and procedures for a bank and compliance with the Regulatory Standards.
- ABC risk assessment review for a large international bank covering 6 countries.
- Financial Crime (AML, ABC, FRM and Sanctions) review for a small bank as part of their Internal Audit process – compliance with the regulator. KYC policies and controls testing.
- An investigation and review of unauthorised trading, risks and controls at a large Investment Bank following a rogue trader incident at the Bank. Reporting to the FCA.
- FRM experience including risk assessments, policy and control review, risk awareness, report and proposal writing, fraud training, managing teams and general FRM marketing.
- ABC investigation for a large oil and gas company.
- An investigation for a large cash processing company – fraud case – regulatory compliance; managing a workstream (email review and Profit and Loss analysis); interviewing suspects.
- A confidential data loss investigation for a building society to establish the details surrounding the incident and to review the company’s information security management policies. Reporting directly to the FCA.