PRADEEP ROSHAN
Operation Compliance Officer
Dubai
Summary
Compliance and Risk Management Professional with 13+ years of experience in the financial services industry across UAE. Specialized in AML, CFT, Sanctions Screening, and Risk Controls, with a proven record of ensuring regulatory compliance with UAE Central Bank standards. Skilled in developing compliance frameworks, monitoring high-value transactions, and training staff to maintain a culture of compliance. Holder of the Certified Anti-Money Laundering Specialist (CAMS) credential.
Overview
16
16
years of professional experience
1
1
Certification
3
3
Languages
Work History
Operation Compliance Officer
Index Exchange
01.2018 - Current
- Ensured branch-wide adherence to AML, sanctions, and CFT regulatory requirements.
- Conducted compliance audits and risk assessments, implementing corrective measures to strengthen controls.
- Developed and implemented AML/CFT policies and procedures in alignment with UAE Central Bank guidelines.
- Monitored high-volume transactions, filing timely Suspicious Activity Reports (SARs) with regulators.
- Delivered compliance and AML training to staff, raising awareness of red flags and reporting protocols.
- Partnered with senior management and regulatory bodies to resolve complex compliance cases.
Senior Officer – Head Office
Wall Street Exchange
01.2013 - 06.2015
- Managed daily financial operations, ensuring accuracy and efficiency in reconciliations and reporting.
- Enforced AML and KYC compliance in all financial transactions.
- Strengthened risk controls by implementing effective compliance monitoring systems.
- Prepared and submitted regulatory and management reports in a timely manner.
Branch In-Charge
Wall Street Exchange
01.2010 - 01.2013
- Oversaw end-to-end branch operations ensuring compliance with regulations and SOPs.
- Improved sales and customer retention through loyalty and incentive programs.
- Supervised preparation and submission of regulatory financial reports.
Education
Sri Lankan G.C.E. Advanced Level - Commerce Stream
Ministry of Education
Sri Lankan G.C.E. Ordinary Level - O-level
Ministry of Education
Skills
- AML/CFT & Sanctions: AML Investigations Counter-Terrorist Financing Sanctions Screening (OFAC, UN, EU)
- Risk & Controls: Risk Assessments Internal Audit Transaction Monitoring KYC/CDD PEP Screening
- Regulatory Reporting: Suspicious Activity Reports (SARs) Central Bank Reporting Policy & Procedure Development
- Leadership & Training: Compliance Training Stakeholder Management Staff Development Cross-functional Collaboration
Certification
Certified Anti-Money Laundering Specialist (CAMS) – ACAMS
TRAINING & DEVELOPMENT
- AML Procedures – UAE Central Bank, Wall Street Exchange
- Customer Service Excellence – Spearhead Training Centre, Dubai
Timeline
Operation Compliance Officer
Index Exchange
01.2018 - Current
Senior Officer – Head Office
Wall Street Exchange
01.2013 - 06.2015
Branch In-Charge
Wall Street Exchange
01.2010 - 01.2013
Sri Lankan G.C.E. Ordinary Level - O-level
Ministry of Education
Sri Lankan G.C.E. Advanced Level - Commerce Stream
Ministry of Education