Matt Fadden
Dartmouth,Canada
Summary
Dynamic KYC Team Lead at RBC with a proven track record in risk assessment and enhanced due diligence. Adept at fostering collaboration among stakeholders to achieve compliance goals under tight deadlines. Committed to driving team success and regulatory excellence.
Overview
5
5
years of professional experience
1
1
Certification
Work History
Global KYC Team Lead
RBC Capital Markets
06.2024 - Current
- Daily reporting to key stakeholders for Macro perspective on case progression
- Quality Control duties on KYC reviews conducted by new hires
- Training initiatives for new hires
- Document process to help lead the Teams operations
- Delegate tasks to team members according to project requirements and employee strengths
- Weekly report on financial crime escalations
- Monthly reporting on frozen accounts
KYC Analyst
RBC Capital Markets
08.2022 - 06.2024
- Company Overview: Capital Markets
- Ensure applicable regulatory requirements have been satisfied via the collection and analysis of documentation
- Collaborate with stakeholders to ensure the best client experience is achieved
- Conduct risk assessments in accordance with the level of risk presented
- Keep abreast with regulatory updates impacting Know-Your-Client requirements
- Conduct changes within Fenergo as a result of a corporate action such as a merger, acquisition, name change, address change, domicile registry change, etc
- Capital Markets
Senior Manager - Governance & Intake
Scotiabank
12.2021 - 04.2022
- Company Overview: Global Sanctions
- Governance BAU Documentation Reviews
- Ownership of Audit and Regulatory engagements, drawing upon the PS team and external stakeholders whenever applicable
- Global Sanctions
Senior Manager - AML - High Risk Client Management
RBC Capital Markets
03.2020 - 12.2021
- Company Overview: Retail & Small Business Banking
- Review and provide approval decisions for AML Operations (EDDU/FIU) recommendations on behalf of Canadian Retail Distribution, including recommendations to retain, onboard, or off-board customers
- Apply a consistent risk management approach to the review and approval decision process for these recommendations
- Obtain further details of High-Risk client cases from front line and other internal partners as needed
- Escalate cases to the 2nd line as needed for its approval and/or advice and counsel
- Recommend risk mitigation actions and next steps as part of approval decisions
- Ensure all recommendations are reviewed and actioned promptly, within required service level timelines
- Share subject matter expertise and provide guidance to front line employees, AML teams and partners as needed to facilitate the review and approval of recommendations and implementation of decisions made
- Retail & Small Business Banking
Associate - AML EDD - Correspondent Banking Onboarding
Scotiabank
03.2020 - 12.2021
- Company Overview: Global Sanctions
- Ensure all Exceptions and Issues are accurately tracked per our process in a timely manner and all communications are sent when applicable
- Oversee Intake and Prioritization Process including JIRA and Confluence solution
- Oversee management of Product Backlog (Book of Work)
- Liaisons with external stakeholders including Global to existing priorities
- Participate in status report updates
- Global Sanctions
Education
Bachelor of Arts - Law
York University
Post Graduate Certificates - Financial Compliance, Administration Services
Seneca College
Post Graduate Certificates - Financial Crime Analysis
Seneca College
College Diploma - Marketing
Humber College
Financial Intelligence Specialist - Financial Intelligence
University of New Haven
Skills
- Risk assessment
- Excellent interpersonal/communication
- Working knowledge of regulatory bodies and current applicable regulations
- Working knowledge of international sanctions
- Enhanced due diligence
- Transaction Monitoring
- Wire screening
- PEP determination
- Attention to detail
- Ability to think outside the box
- Critical thinking
- Providing coaching and feedback
- Collaboration with various stakeholders to reach a common goal
- Work under high pressure to reach tight deadlines
Certification
- CAMS, Association of Anti-Money Laundering Specialists
- CGSS, Association of Anti-Money Laundering Specialists
- OpenSource Intelligence, Toddington International Inc.
- Financial Intelligence Specialist, University of New Haven (ManchesterCF)
Timeline
Global KYC Team Lead
RBC Capital Markets
06.2024 - Current
KYC Analyst
RBC Capital Markets
08.2022 - 06.2024
Senior Manager - Governance & Intake
Scotiabank
12.2021 - 04.2022
Senior Manager - AML - High Risk Client Management
RBC Capital Markets
03.2020 - 12.2021
Associate - AML EDD - Correspondent Banking Onboarding
Scotiabank
03.2020 - 12.2021
Post Graduate Certificates - Financial Compliance, Administration Services
Seneca College
Post Graduate Certificates - Financial Crime Analysis
Seneca College
College Diploma - Marketing
Humber College
Financial Intelligence Specialist - Financial Intelligence
University of New Haven
Bachelor of Arts - Law
York University
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