Jainita Jaishima Sam

• Prepared attestations and board reports each quarter.
• Ensured that the compliance program adheres to the 3 years' road map.
• Assisted in coordinating the Policy Management Schedule with respective risk leaders.
• Ensured the circulation of policies and frameworks in the bank's format to risk leaders.
• Assisted the Chief Compliance Officer in other administrative works.

AfrAsia Bank Ltd is a retail commercial bank established in Mauritius and Compliance is amongst one of its back-office functions.

The exposure and skills received as Senior Compliance Analyst includes the experience in the previous role as Compliance Assistant at the Bank. The primary AML and Compliance duties are similar for both roles. The additional exposure as Senior Compliance Analyst were:

• Assisted in preparing and delivering AML/Compliance training to the Bank's staff members.
• Helped the Regulatory cluster in preparing Risk Based Supervision (RBS) Return on AML/ATF for onward submission to the regulator (Bank of Mauritius) on a quarterly basis.
• Prepared board reports each quarter.
• Provided AML/Sanction advisory to different business segments.
• Conducted reviews on clients' accounts on whom STRs were submitted to the law enforcement authority, to determine any further suspicious behavior that might result in re-classification of risk and banking relationship with these clients.

• Conducted customer due diligence on potential customers for account opening.
• Gathering KYC documents and using a risk-based approach to determine the right due diligence to be done on customers based on their risk classification.
• Monitored and investigated clients' accounts for money laundering (ML) and/or terrorist financing (TF) activities.
• Escalated ML/TF activities to senior management level and law enforcement authority.
• Drafted Suspicious Transaction Reports (STRs) for onward submission to law enforcement authority.
• Reviewed transactions against sanction lists using SWIFT Transaction Screening Service Portal.
• Conducted compliance reviews using KYC and transaction monitoring.
• Attended requests for information from correspondent banks and law enforcement authority.
• Reviewed and updated internal compliance processes, policy and procedures.
• Assisted in implementation of three projects: i) migration of SWIFT Sanction Screening Tool, ii) on-boarding of LexisNexis Bridger Insight Screening Tool, and iii) upgrading of Thomson Reuter's Refinitiv WorldCheck Tool.

• Provided administrative support in the Human Resources department and performed ad-hoc tasks as required.

• Assisted in on-boarding new customers and conducting file reviews to monitor their due diligence documents, and preparing resolutions and compliance reports for onward submission to the Risk Committee members.
• Conducted due diligence on clients from a risk, AML and ATF perspective. This task involved assembling research, compiling data, and preparing reports on clients as well as conducting risk assessment for every business relationship and providing clearance for onboarding of these clients.
• Assisted in preparing Risk Committee resolutions for client take-on and every high risk triggering factor. This required maintaining proper and accurate record for Risk Committee resolutions.
• Maintained accurate record of KYC status of client files. Assisted in constant follow ups with line managers and file administrators to have all KYC documents in file and updated. Escalated KYC issues to management where appropriate.
• Assisted in coaching/training other team members and worked on escalating issues faced on a daily basis to the Association of Trust and Management Companies (ATMC).