Paula Jones

Compliance Monitoring & Testing

Second Level Control Analyst for AML and Financial Sanctions within a well known Austrian private investment bank.

Overview: This project was implemented by the bank, a well known, international German bank, in order to transition their Name List Screening (NLS) software to a new provider (Fircosoft SBS). Promontory were engaged by the bank to assist with the UAT process, creation of workflow and procedure documents and delivery of training to the Name List Screening staff.

Overview: This project was implemented by the Bank in order for them to gain an overview of the level of Sanctions/AML/KYC/Regulatory knowledge within the group ofca well known internationalFrench bank, in relation to both Group and Local Policies and Procedures, and on a wider basis understanding/adherence to requirements such as those, for example set out by OFAC. A Sanctions and AML/KYC related Questionnaire/Assessment document was created and distributed to the banks Risk Assessment Units.

Overview: This project was implemented by the Bank in order for to carry out a look back on all of the USD currency related transaction processed by the Group to verify adherence (or breaches) in relation to OFAC requirements.

This project was implemented by the Bank in order to implement and AML/KYC Refresh Policy for the banks Hedge Fund/Money Market Customers.

Carrying out Anti Money Laundering (AML/KYC) reviews on the existing fund/client base for Bank of America/Merrill Lynch globally – Point of contact for BAML‘priority’ Platinum clients.

Carrying out Anti Money Launder (AML/KYC) reviews of existing hedge funds for large US Investment Bank as part of a remediation project.