Jessy Maria Joseph

• Develop and maintain strong working relationships with other members of the Ocorian team and support them in delivering services to clients.
• As directed, take responsibility for the accurate and timely on boarding of Ocorian’s clients.
• Support the Licensing Manager and update/maintain relevant licensing data.
• Document in a timely and complete manner, important communications and other relevant items in management information systems.
• Assist members of the Ocorian team with ongoing review, revision, and implementation of internal policies, procedures, and practices.
• Assist others or directly undertake research and reviews in relation to rules & regulations, industry best practices, competition, business models, market analysis, IT systems and applications.
• Participate in and provide input into companywide projects and development topics as required.
• Leading or attending internal training sessions and demonstrating knowledge gains.
• Identifying relevant externally run training and demonstrating knowledge gains.
• Keep abreast of any changes in rules and regulations within the DIFC/ADGM, including fulfilling the DFSA requirement of 15 hours of continuing professional development.
• Perform other company related duties or assignments as directed.

• Customer due diligence on boarding and reviews, screening and transaction monitoring
• Performing regular compliance monitoring in accordance with the client’s Compliance Monitoring Programme
• Drafting, reviewing and updating relevant compliance material such as AML and Compliance Manuals, policies and procedures, compliance training plans, and compliance monitoring programmes.
• Drafting, reviewing and updating regulatory business plans and regulatory licence application documents.
• Preparing training presentations for clients on compliance, AML, risk and corporate governance matters.
• Preparing draft reports on compliance, AML and risk matters for review by the designated officer.
• Attending client meetings/discussions or board meetings with designated Compliance Officer/MLROs and maintaining minutes where required.
• Act as Deputy MLRO or providing temporary cover as Compliance Officer/MLRO.
• Obtain relevant trainings from DOLFIN.

· Tracked monthly policy Renewals and New Business, coordinating with teams to collect required client documents on time.

· Assisted the Compliance Team with Internal and External audits (Central Bank) by collating documents, coordinating responses and supporting in addressing auditor queries.

· Reviewed documents for New Business clients to line in compliance with KYC, AML and internal guidelines. Worked closely with KYC and Sanctions teams to complete checks promptly and maintain zero compliance breaches.

· Shared solutions with the business (where required) on alternate documentation that can be accepted from the clients.

· Assisted team members by providing explanations on client calls for the need of obtaining certain mandated compliance documents to clients for both Renewals and New business.

· Assisted the team in obtaining Senior Management Signoffs (SMSO) with business rationales for PEPs, SOEs, and derogatory information.

· Conducted Customer Due Diligence (Standard and Enhanced) and background checks to assess risks associated with clients and Ultimate Beneficial Owners (UBO's).

· Designed a Compliance workflow for a lean and smart process for the teams to follow and conducted AML training for the new joiners in the organization.

· Coordinated to review processes and monitored colleagues for maximum effectiveness.

· Assisted for quarterly training sessions for staff to understand regulatory changes.

· Collaborated with the Compliance Team to implement new processes in response to regulatory changes.