MANSOORALI M
DUBAI
Summary
Highly experienced Compliance Officer with 18 years of dedicated service in the banking industry within the UAE. Specializing in sanctions compliance, possesses a robust understanding of regulatory frameworks and a proven ability to ensure adherence to international and local laws. Expertise includes developing and implementing comprehensive compliance programs, conducting in-depth investigations, and mitigating risks associated with financial crimes. Certified Anti-Money Laundering Specialist (CAMS) with advanced knowledge in identifying and preventing money laundering activities. Role involves close collaboration with cross-functional teams to enhance compliance frameworks, provide training and guidance on compliance matters, and ensure the organization's operations align with regulatory requirements. Demonstrates a strong commitment to maintaining the highest standards of integrity and ethical conduct. Analytical skills, attention to detail, and ability to navigate complex regulatory environments consistently contribute to the successful management of compliance risks. Adept at using data-driven approaches to monitor and report on compliance activities, ensuring transparency and accountability.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Compliance Officer
National bank of Ras Al Khaima (RAK BANK)
2023.10 - Current
- Investigate, review and highlight economic sanctions related cases
- Assist in process review and enhancement related to the referral, escalation and resolution of sanctions alerts
- Assist and support in advising business units relating to compliance with international sanctions regimes and associated risk to create a strong compliance culture
- Assist to mitigate sanctions compliance risks, foster compliance culture in the bank and optimize relations with the regulators, correspondent bank, protect the reputation of the bank, comply with applicable sanction policies, standards and local laws & regulations
- Assist in meeting its compliance obligations as outlined in the group’s sanctions policy to identification of suspicious activity
- Handling SWIFT messages to release false positive cases and identifying red flags
- Follow up with respective business units for further investigation of true matches
- Filing PNMR ,FFR , STR and SAR in Goaml portal
Branch Supervisor
Al Rostamani International Exchange Company
2014.01 - 2023.10
- AML daily compliance monitoring, handling queries raised by CBUAE, and correspondent banks.
- Handling of all commercial and retail onboarding activity covering compliance requirements such as name screening, public domain due diligence and internal system checks.
- Regularly performing various thematic reviews and analysis to identify various typologies from AML/CFT and FATF perspectives.
- Doing complete ECDD on all corporate customers and for individual KYC/KYCC to monitor their activity.
- Assist with addressing queries from corresponding banks relating to AML/CFT matters including non-receipt and amendments for swift payments
- Collect documentary proof and build and maintain case files for transactions deemed suspicious.
- Verifying bill of lading to ensure no sanction violations including trans-shipment risk.
- Setting up branch operations with key focus on bottom line profitability by ensuring optimal utilization of available resources
- Formulating operating budgets to ensure optimum utilization of available funds as well maintaining the branch operational expenses for accomplishing the overall corporate goals.
- Playing proactive role in Customer retention and branch marketing activities
- Periodic competition analysis and reporting.
- Support huge corporate clients as their financial consultant keeping a thorough watch of the global financial markets and advising them accordingly
- Motivated, trained and disciplined employees to meet performance benchmarks.
- Assisted front-line staff with handling difficulties, resolving problems and managing large transactions.
- Assigned job roles and oversaw performance.
- Executed extensive variety of customer transactions according to institutional policy and procedures.
- Delivered product and service quality and inspired team members to reach and maintain department goals and objectives.
- Collaborated with other supervisors to coordinate activities of individual team members and departments.
- Set schedule for tellers and customer service representatives.
- Maintained scheduling for main branch to keep shifts appropriately staffed.
- Trained team members on new hotel services and products to support promotional efforts.
Senior Customer Service Officer
Al Rostamani International Exchange
2010.09 - 2013.12
- Mentored new employees while supporting complex dedicated suite of products and services.
- Coordinated policies and procedures to target current and future needs of organization.
- Guided team members with clear directions, timelines and feedback.
- Developed employee skills development guidelines to deliver best-in-class customer experience.
- Strengthened customer relationships and authored strategies to provide positive experience for customers.
- Informed customers of sales promotions and services, warranties or terms of sale and refunds or exchanges.
- Prepared reports by collecting and analyzing customer needs.
- Conducted surveys to determine customer opinion of products and services.
- Assisted marketing team on short-term and long-term promotional projects and provided regular updates on status and progress.
- Wage Protection System (WPS)- Branch In charge for initializing and processing
- Overseeing the daily cheque/cash deposits, reconciling of the same and planning the cash management
- Handling entire corporate client base and executing High Value Transactions with specified value date.
- Preparing MIS and various other business reports/statements to apprise top management of the routine business operations
Customer Care Specialist
Al Rostamani International Exchange Company
2006.11 - 2010.08
- Streamlined operational efficiencies by managing accounts and contracts and processing system orders and cancellations.
- Responded to customer needs through competent customer service and prompt problem-solving.
- Helped large volume of customers every day with positive attitude and focus on customer satisfaction.
- Achieved high satisfaction rating through proactive one-call resolutions of customer issues.
- Developed and implemented customer care policies, procedures and regulations necessary to satisfy customer base.
- Responded to customer calls and emails to answer questions about products and services.
- Accurately tracked and recorded customer interactions in CRM platform.
- Maintained and managed customer files and databases.
- Provided customers with detailed information on company products, services and materials.
- Kept accurate records to document service actions and discussions.
- Responded to customer inquiries via phone, email and web-based platforms.
- Took ownership of customers issues to follow problems through to resolution.
Business Development Executive
Airtel Enterprise Services
2005.09 - 2006.07
- Identified and pursued valuable business opportunities to generate new company revenue and improve bottom line profit.
- Collaborated with sales and marketing departments to support client acquisition.
- Created cross-functional teams to promote consistent brand messaging, demand-generation programs and sales tools.
- Developed new proposals, contracts and procedures to draw in more clients and streamline work operations.
Education
MBA - MARKETING AND HR
Sir. M. Visvesvaraya Institute of Technology
Bangalore01.2005
Skills
- Internal Controls
- Trend Monitoring
- Document Review
- Regulatory knowledge
- Compliance Monitoring
- Investigations skills
- Compliance reviews
- Compliance and Risk monitoring
- Back End Operations
- Team Management
- Strategic Planning
- Analytical & interpersonal Skills
Languages
English,
Advanced (C1)
Malayalam
Bilingual or Proficient (C2)
Arabic
Beginner (A1)
Hindi
Elementary (A2)
Tamil
Beginner (A1)
Careerpath
- Compliance Officer, National bank of Ras Al Khaima (RAK BANK), 10/23, To date
- Branch Supervisor, Al Rostamani International Exchange Company, Dubai UAE, 01/14, 10/23
- Senior Customer Service Officer, Al Rostamani International Exchange, Dubai UAE, 09/10, 12/13
- Customer Care Specialist, Al Rostamani International Exchange Company, Dubai UAE, 11/06, 08/10
- Business Development Executive, Airtel Enterprise Services, Bangalore, 09/05, 07/06
Personalinterests
Reading, Sports, Music, Traveling.
Personal Information
- Date of Birth: 12/30/80
- Nationality: Indian
- Marital Status: Married
References
Will be furnished upon request.
Training
- AML-NEW PERSPECTIVE, 2022, Alrostamani Intl Exchange Dubai
- OBJECTION HANDLING, 2020, Alrostamani Intl Exchange Dubai
- EFFECTIVE SELLING SKILLS, 2016, Alrostamani Intl Exchange Dubai
- Workshop on counterfeit Note Identification, 2007, Alrostamani Intl Exchange Dubai
- Seminar on Customer Service and Selling skills, 2007, Al Rostamani International Exchange Dubai UAE
Certification
- CAMS
Timeline
Compliance Officer
National bank of Ras Al Khaima (RAK BANK)
2023.10 - Current
Branch Supervisor
Al Rostamani International Exchange Company
2014.01 - 2023.10
Senior Customer Service Officer
Al Rostamani International Exchange
2010.09 - 2013.12
Customer Care Specialist
Al Rostamani International Exchange Company
2006.11 - 2010.08
Business Development Executive
Airtel Enterprise Services
2005.09 - 2006.07
MBA - MARKETING AND HR
Sir. M. Visvesvaraya Institute of Technology
- CAMS
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