Manu Mohan. M
GABODE 5, Djibouti,DJ
Summary
Compliance professional prepared to lead and enhance regulatory frameworks. Expertise in risk management, policy development, and audit oversight. Strong focus on team collaboration and achieving results. Reliable and adaptable with keen eye for legal and ethical standards.
Overview
14
14
years of professional experience
2
2
Certification
Work History
Head of Compliance - MLRO
CAC International Bank
11.2017 - Current
- Ensure compliance with the Djibouti, UAE(DIFC & DFSA), and Ethiopia legislations including the Bank's internal law and mandate, oversee the risk and compliance register and development of forms related to key compliance policies.
- Ensure operations within all offices are conducted in a manner that complies with banks policy, regulation and applicable laws and protect and enhance the reputation of the Bank.
- Create a framework for the effective risk-based monitoring of the implementation of Regulatory Compliance and Financial Crime and Fraud risks related policies and controls across all Branch/offices of the bank
- Lead the development of a robust whistleblowing framework and review of reports on whistleblowing activities, ensure compliance across the organization by encouraging the reporting of non-compliance activities and implementing corrective action plan within the timeframe
- Lead periodic compliance reviews of key activities and provide recommendations to the Bank's CEO, Board and relevant committees
- Guide the Business Continuity Plan and strategic new product launches of the Bank
- Identify potential areas of compliance vulnerability, suggesting and Preparing action plans for resolution and providing guidance to mitigate risk
- Expertise in managing and leading teams for running successful compliance and experience of implementing laid guidelines, process manuals & procedures for business excellence with calculated risk.
- Consulted with Correspondent Partners on best practices and served as project manager for all process improvements and regulatory initiatives.
- Monitored emerging trends in regulatory requirements, anticipating potential impacts on the organization''s operations.
- Supported the implementation of new regulations within the organization by developing strategic plans and action items for each department.
- Strengthened company-wide awareness of relevant laws, regulations, and industry standards through targeted trainings, presentations, and ongoing communication efforts.
- Negotiated effectively with regulatory bodies to resolve compliance discrepancies without incurring penalties.
- Attended all the Central Bank of Djibouti Meetings and Forum as CAC MLRO
Assistant Compliance Manager - Financial Crime Compliance
HSBC International Banking Operations
06.2015 - 10.2017
- Oversee the critical Compliance policies and systems that impact the Bank and ensure that the Bank's exposure to Regulatory Compliance and Financial Crime and Fraud risks is managed in a commercially sensitive, practical and cost effective manner
- Reviewed documents, files, transcripts, and other records to assess compliance and potential risk.
- Managed compliance efforts, reporting and audits.
- Managed investigations into potential violations of laws or regulations, ensuring swift resolution and corrective actions when necessary.
- Delivered subject matter expertise for internal and external customers on compliance best practices and quality control.
- Achieved recognition for leadership in compliance, setting benchmark in industry for best practices.
- Analyzed and identified risk areas to determine compliance with applicable laws and regulations.
- Prepared records and data for regular audits.
- Prepared and presented comprehensive reports to upper management and audit team, covering issues and recommendations.
- Coordinated with legal teams to interpret regulatory changes, ensuring timely compliance adjustments.
Senior Officer - Compliance Due Diligence
Standard Chartered - Scope International
01.2012 - 01.2015
- Served as the subject matter expert on the review, approval and client acceptance policies and procedures
- Provide support to the Analysts, the Team Leads and the other SMEs to assist with the understanding of a Risk Based Approach
- Internal QA checking on cases reviewed by team members
- Review negative news and OFAC/Watch List/Politically Exposed Persons (PEP) alerts generated by Bank's automated systems and through manual checks
- Perform due diligence, including Enhanced Due Diligence (EDD), and assessing the risk of new customers to the firm, documenting findings, ensuring that management is apprised of key issues, risks, and the appropriate monitoring to mitigate risk
Merchandiser - Knitwear Export
Ashwath Inc
08.2011 - 01.2012
- Following Counter to Pre-Production Samples to get approval from buyer for bulk production
- Executing LC and Shipping documents for the export orders for countries like Germany, Canada and Denmark
- Inspecting Quality checked finished products as per country and buyer standard
- Communicating with quality and other departments to get buyers objective achieved
Education
MBA -
Madras University
Asan Memorial Institute Of Management04-2011
Bachelor of Computer Application -
Bharathiar University
Nehru College Of Arts And Science04-2009
Skills
- Risk Management
- Compliance monitoring
- Anti-money laundering
- Sanctions compliance
- Policy Development
- Fraud Prevention
- Regulatory expertise
Accomplishments
- Contributed significantly to the selection and migration of a new core banking system.
- Established a customized Anti-Money Laundering (AML) program for the bank.
- Acted as a representative for CAC Bank at the US Banking Forum with the New York Federal Reserve and OFAC.
- Participated in discussions with the Department of Treasury and FINCEN in Washington on behalf of CAC Bank.
- Represented CAC Bank at the American Bankers Association meeting and the Citi Bank Correspondent Meeting in New York. Presented on behalf of CAC Bank at the World Union of Arab Banks conference in Turkey.
Certification
- CAMS - Certified Anti Money Laundering Specialist
- ICA Certificated in Anti Money Laundering
- Central Bank of UAE Backed Countering Proliferation Financing from RUSI
- UAE Executive office for Control & Non-Proliferation Certification Program for UN Sanctions Obligations & FATF Recommendations
Languages
English
Tamil
Malayalam
Hindi
Visa Details
- USA Business Visa, 2028
- UK Business Visa, 2029
- Schengen Visa, 2024
Personal Information
- Date of Birth: 11/23/88
- Marital Status: Married
Systems Used
- Actimize
- Mantas
- World Check
- Lexis Nexis
- Accuity
- Factiva
- RDC
- Univius
Timeline
Head of Compliance - MLRO
CAC International Bank
11.2017 - Current
Assistant Compliance Manager - Financial Crime Compliance
HSBC International Banking Operations
06.2015 - 10.2017
Senior Officer - Compliance Due Diligence
Standard Chartered - Scope International
01.2012 - 01.2015
Merchandiser - Knitwear Export
Ashwath Inc
08.2011 - 01.2012
MBA -
Madras University
Bachelor of Computer Application -
Bharathiar University
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