Nelly Sieben
Summary
Dedicated Banker and regulator professional with a history of meeting company goals utilizing consistent and organized practices. Skilled in working under pressure and adapting to new situations and challenges to best enhance the organizational brand.
Overview
14
14
years of professional experience
Work History
Market Inspection and Analysis Officer
Stock Market Superintendency Of Panama
02.2018 - 12.2022
- Carry out inspections of companies regulated by the entity in terms of Money Laundering, Financing of Terrorism an Financing of Weapons of Mass Destruction, verifying that they comply with the regulations of Panama.
- Prepare reports on the evaluation carried out to the entities
- Follow up with the entity to correct the recommendations established in the report on the results of the inspection carried out
Compliance Executive
Mega International Commercial Bank
09.2012 - 11.2017
- Developed and maintained compliance database, tracking all compliance activities and documents.
- Responded to employee inquiries regarding compliance regulations and procedures.
- Maintained up-to-date knowledge of current and emerging compliance regulations.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Prepared and submitted regulatory filings in timely manner.
- Monitored and assessed compliance risks associated with operational processes and procedures.
- Collaborated with internal and external stakeholders, auditors and legal counsel to confirm compliance with applicable laws and regulations.
- Investigated and documented all violations of compliance regulations to determine necessary improvements.
- Developed and maintained system for tracking and reporting compliance violations.
- Managed practical action plans to respond to audit discoveries and compliance violations.
- Oversaw and monitored violation tracking system for accuracy, reducing issues.
- Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
- Implemented effective compliance policies and procedures to meet regulatory requirements.
- Analyzed and identified risk areas to determine compliance with applicable laws and regulations.
- Established and monitored compliance procedures to provide consistent implementation across departments.
- Addressed compliance issues by developing and implementing corrective action plans.
- Performed regular compliance reviews and audits, identifying non-compliance issues.
- Collaborated with HR and IT to develop and implement code of business and ethics and anti-harassment policies and related personnel training.
- Advised division leaders of regulatory risks in business processed and provided recommendations for improvement.
Chief Operations Loans
Social Security System
02.2012 - 07.2012
- Execute and Implement the entire process in the organization for the granting of personal loans to retirees and pensioners
- Oversaw business-wide changes to modernize procedures and organization.
- Managed financial, operational and human resources to optimize business performance.
- Collaborated with legal, accounting and other professional teams to review and maintain compliance with regulations.
- Training staff for the execution of loans
Bank Auditor
Superintendence Of Bank Of Panama
07.2010 - 02.2012
- Carry out inspections of companies regulated by the entity in terms of Money Laundering, Financing of Terrorism an Financing of Weapons of Mass Destruction, verifying that they comply with the regulations of Panama.
- Prepare reports on the evaluation carried out to the entities
- Follow up with the entity to correct the recommendations established in the report on the results of the inspection carried out
- Prepared working papers, reports and supporting documentation for audit findings.
Officer
Banvivienda Bank
08.2008 - 07.2010
- Account openings, personal loans, cars, mortgages, credit cards, claims, any operation carried out in a Bank Branch
- Management and Supervision of Branch Personnel
- Approvals of the operations that were thus required
Education
Certification in Money Laundering Risk Management -
AECGR
Mexico03.2020
Project Postgraduate -
Panama University
Panama, City Panama02.2018
Diploma in Prevention of Money Laundering, FT And -
Usma University
Panama, City Panama06.2016
Certified Professional in Anti Money Laundering -
Florida International Bankers Association (FIBA),
Florida USA11.2014
Diploma Financial Risk Management -
Panama University
Panama, City Panama06.2010
Economy - Degree in Economics
Panama University
Panama, City Panama06.2008
Skills
- Specialist in Risk AML, FT, FADM
- Banker
- Customer Services
- Fraud
- Monitoring of operations
- Fellowship
Accomplishments
- In the Banking regulator, he discovered the plot carried out by employees in which they profited from customer operations
- In the Securities regulator I discovered in a regulated subject that he kept clients with bad reputation news
- In the Bank I established all the necessary policies and procedures to reduce the findings filed by the Regulated
- In my banking history I met all the goals established by senior management
Timeline
Market Inspection and Analysis Officer
Stock Market Superintendency Of Panama
02.2018 - 12.2022
Compliance Executive
Mega International Commercial Bank
09.2012 - 11.2017
Chief Operations Loans
Social Security System
02.2012 - 07.2012
Bank Auditor
Superintendence Of Bank Of Panama
07.2010 - 02.2012
Officer
Banvivienda Bank
08.2008 - 07.2010
Certification in Money Laundering Risk Management -
AECGR
Project Postgraduate -
Panama University
Diploma in Prevention of Money Laundering, FT And -
Usma University
Certified Professional in Anti Money Laundering -
Florida International Bankers Association (FIBA),
Diploma Financial Risk Management -
Panama University
Economy - Degree in Economics
Panama University
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