88 Wood Street, London, EC2V 7RS, United Kingdom    Phone: +44 (0) 845 658 0008    Email: info@lysisfinancial.com

Preventing Financial Crime

An international estate agency business (EAB), head quartered in London and operating across an extensive branch network both at home and abroad.

Fully mapped business operations from money laundering regulation to operational systems and controls.

Embedded and sustainable operational money laundering policies and processes.

Clear risk-based approach to managing even the most complex client structures

An experienced CDD team capable of reacting rapidly to surges and demands of a seasonal business

Incredibly agile and responsive CDD team to meet seasonal or other complex demands

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Preventing Financial Crime

An international estate agency business (EAB), head quartered in London and operating across an extensive branch network both at home and abroad.

Fully mapped business operations from money laundering regulation to operational systems and controls.

Embedded and sustainable operational money laundering policies and processes.

Clear risk-based approach to managing even the most complex client structures

An experienced CDD team capable of reacting rapidly to surges and demands of a seasonal business

Incredibly agile and responsive CDD team to meet seasonal or other complex demands

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Enhancement of AML Governance Framework & KYC Remediation

A major Global wholesale and retail bank with global reach

Worked with board members and senior management to review the firm’s AML processes and controls.

Produced and developed new policies and procedures covering Client On-boarding/Off-boarding and KYC, Trade Finance, Treasury Services, Politically Exposed Persons and sanctions.

Developed the Financial Crime Escalation Committee providing governance around AML and Financial Crime at board and senior management level.

Successfully implementation of AML including policy, procedures and training.

Engineered structure of the new KYC department

Provided on-going KYC and QA support.

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Transaction Monitoring

A European Retail Bank with over 4000 employees globally.

Rapid deployment of a team of transaction monitoring specialist and senior regulatory consultants.

Completed a review of c.800 personal and savings accounts

Identified and reported to the bank’s senior management team, outlining any key areas of concern related to anti-money laundering.

Presented the findings, conclusions and further recommendations to the bank.

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Compliance Programme

A Global Wholesale Bank

Design of the processes and systems required to support the programme.

Management of an 85-strong BA, development and test for the IT development requirements.

Migration of in excess of 80,000 historical risk re-assessments to the strategic platform.

An integrated programme plan, integrated RAID Log, budget management and programme reporting.

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Client On-boarding Target Operating Model

The Merger of the Two Global Investment Banks

Provided experienced regulatory compliance and operational change consultants to devise a suitable single solution to meet business needs of the merged bank.

Developed a Target Operating Model incorporating a strategic systems architecture.

Produced a System Integration Plan leveraging the best of the breed technology and working practices.

Managed the execution of the programme over a 28-month timeframe.

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AML Systems Selection and Implementation

A Global Wholesale Bank

Requirements definition and Request for Proposal (RFP) creation.

Development of the methodology to be used for scoring the RFP responses.

Structured systems workshops for short-listed vendors.

Proof-of-concept.

Management of a 20-strong implementation team covering business analysis, interface development and testing.

Roll-out, to tight regulatory deadlines, of the system to the global user-base.

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Programme Management – MiFID

A major European Investment Bank

Planned the end-to-end classification and communication programme and worked with the bank to secure the required resourcing.

Ran the design authority for the processes and software required to support the classification regime

Oversaw the process documentation and software build.

Managed the operational execution of the programme using on-shore resources in London and off-shore resources in India.

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S166 Programme Management

A FTSE-100 Firm

Worked with the firms’ Board and senior management to shape each project and produced a detailed programme plan.

Established programme governance, RAID and tracking tools to ensure accurate and timely delivery.

Worked with executive and senior management to initiate the programme and projects, build the team required and respond to initial FSA challenges on programme and project set-up.

Managed the entire global programme, spanning the Governance, Risk, Compliance, Operations and IT functions, reporting to a Board-level Steering Committee.

Responsible for programme management, planning, tracking and reporting, including programme risks, issues, dependencies and budget.

All milestones across the 12-month programme were achieved on time and under budget.

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Enhancement of AML Governance Framework & KYC Remediation

Major global bank

Worked with board members and senior management to review the firm’s processes and controls from an AML perspective

Development of the Financial Crime Escalation Committee

Successfully implementation of AML

Engineering of the structure of the new KYC department

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