Jacob Dadey
Summary
Experienced Risk and Compliance Specialist with over a decade of hands-on experience across major financial institutions. Skilled in policy development, training and development, quality control/assurance frameworks, client remediation, operational testing and stakeholder coordination. Proven ability working on risk assurance programs and supporting global teams through regulatory and procedural requirements.
Overview
12
12
years of professional experience
Work History
Senior Global Risk Associate
Xe
07.2024 - Current
- Conducting risk assurance reviews across various segments and business units.
- Liaising with key stakeholders, tracking the progress and status of findings/remedial actions, and proactively escalating matters to management.
- Developed a product risk assessment tool, an internal escalation and tracking system, from conception through to implementation.
- Analysis and reporting of risk incidents to senior management.
- Preparing reports and presentations for risk management and firm leadership.
- Providing ad hoc support to wider compliance operations and risk teams as needed.
- Delivering training and learning to raise awareness of risk management, compliance programs, and tools.
- Key contributions to risk control self-assessment implementation on a firm-wide level.
Senior Global Quality Assurance Analyst
Xe
08.2021 - 07.2024
- Developed and maintained Quality Control Frameworks to ensure accuracy across all legal entities.
- Identified training needs from Quality Assurance reviews, collaborating with Regulatory Training Coordinator on improvement plans.
- Facilitated ongoing testing of systems to preserve operational efficiency and identify process improvements.
- Provided continuous feedback to Compliance Optimisation Team to enhance procedural effectiveness based on quality assurance reviews.
- Implemented effective training and monitoring for new EU-based refresh team members.
- Contributed to development of corporate onboarding journey, achieving at least 30% Straight Through processing.
- Conducted operational testing of consumer journeys, including PEP, Sanctions, and real-time transaction monitoring.
Senior Compliance Operations Executive
Xe
04.2020 - 08.2021
- Supported management on senior stakeholders calls, discussing operational progress and potential issues regarding process.
- Investigated, identified and presented key areas of improvement for corporate on-boarding process in line with other regional offices to senior stake holders.
- Assisted training of front office staff to implement above changes.
- Carried out training for all Compliance colleagues regarding corporate on-boarding.
- Key point of escalation/queries for less senior members of staff.
- Assisted produce updated policies and procedures for front office staff to utilise during corporate on-boarding process.
- Conducted end to end review for high value applicants of varying risk ratings, jurisdictions, entity types and product requirements.
Senior QC Analyst
RBS (Contract)
10.2019 - 03.2020
- Assisted management on calls with senior stakeholders regarding progress of the operations and potential issues regarding process in manager’s absence.
- Assisted testing/roll out of new systems implemented to streamline CDD processes and amalgamate information from various systems.
- Completed quality control checks on high risk annual review client populations of both business banking and commercial banking clients.
- Assisted develop customer contact triage process to ensure vital project deadline was adhered to.
- Provided detailed and constructive feedback to analysts regarding the various stages of client reviews.
Remediation Analyst
Bank ABC (Contract)
04.2019 - 08.2019
- Reviewed and remediated over 85 Financial Institutions, Banks and Corporate Entities within the Istanbul Branch’s portfolio.
- Logged and tracked various stages of remediation including outstanding requests for information to ensure all reviews remained within the designated SLA.
- Weekly calls/meetings with senior stake holders within the Istanbul Branch/High Value customers to ensure requests for all group related clients were addressed at once.
- Conducted detailed reviews on client’s policies/annual reports to identify potential sanctions exposure in relation to products provided to the clients.
- Conducted additional due diligence on client’s utilising high risk products such as Islamic Lending and correspondent banking services.
Senior QC Analyst
RBS (Contract)
07.2018 - 04.2019
- Assistant team lead fulfilling day-to-day tasks. These tasks included workflow management and quality score tracking.
- Completed quality control checks on various entity types such as Limited Companies, LLP, Trusts, Funds, Charities and PLCs.
- Provided detailed feedback and learnings to Analysts.
- Contributed to the development of letter check process enabling some client records to be completed without client contact.
- Direct contact with relationship managers regarding outstanding information for clients in their portfolio.
Senior Case Lead
JP Morgan (Contract)
12.2017 - 07.2018
- Reviewed and refreshed corporate/non-bank financial institutions client records for oil and gas families.
- Requested information required from front office/high value customers post client review.
- Co-ordinated largest oil and gas family 2018 review consisting of 83 records and 3 case leads.
- Reviewed OFAC/Sanctions forms and requested approval from senior members.
- Reviewed records of clients operating in numerous high risk and very high risk jurisdictions.
- Completed AML Risk summaries for entities operating in high risk industries/jurisdictions.
- Assisted in the training and development of new team members.
Senior Compliance Executive
Global Reach Partners (Contract)
07.2017 - 10.2017
- Reviewed and refreshed corporate and private clients applying different levels of due diligence SDD, CDD and EDD for a foreign exchange broker.
- Performed quality assurance checks on new and existing client files to ensure information meets regulatory standards.
- Reviewed a variety of different entity types including SPV’s, funds, trusts, pensions, charities, limited companies, sole traders and private clients.
- Requested information from clients where necessary, managing client responses received and reviewing information provided to ensure case completion.
- Conducted adverse media screening searches on all clients.
- Reviewed sanctioned payments checks for both individual and business clients and requested approval from the Head of Compliance when required.
- Assisted in the training and development of new team members to both the Refresh project and the onboarding team.
Quality Assurer
Goldman Sachs (KPMG) (Contract)
08.2016 - 07.2017
- Completed quality assurance checks on various entity types such as hedge funds, SPVs and pension funds.
- Coordinated activities to ensure internal SLA’s were met and provided timely updates to the business.
- Logged and tracked outstanding tasks and took personal responsibility for workloads and that of the team.
- Ensured a clear and concise validation of records and monitoring of customer queue.
- Proactive reviews and follow-up on referrals and queries.
- Provided detailed feedback/learning to QC/Analysts.
- Ensured that effective risk, issue and dependency management processes were adhered to within the administration function in accordance with the K-CRC risk appetite and risk control framework.
OKYC Quality Control Analyst
Lloyds Banking Group
04.2015 - 08.2016
- Deputy team manager fulfilling day-to-day tasks carried out by my manager. These tasks included workflow management, quality score tracking and inbound call management.
- Conducted risk assessments to ensure the correct levels of due diligence have been applied, as well as screening customers against PEPs and sanctions lists.
- Contributed to the development of adverse media process in line with new software implemented by the bank, responsible for adverse media hits and escalations across the floor with a select few colleagues.
- Provided in depth training to colleagues on money service businesses and first point of contact for any queries colleagues had in regard to the process and checklists.
- Daily MI reporting on productivity to senior stakeholders.
- Subject matter expert for complex queries, escalations, process improvement and assisting colleagues improve efficiency and quality.
- Consistently maintained individual performance targets and quality.
KYC Quality Control Analyst
Lloyds Banking Group
09.2013 - 04.2015
- Managed distribution of 2,000 high-priority remediation cases, ensuring adherence to two-week SLA.
- Conducted quality checks and provided feedback for six new colleagues, tracking sign-offs effectively.
- Analyzed documentation for new customers, ensuring compliance with current regulations.
- Reviewed sample cases to identify areas for improvement in case handling.
- Consistently achieved individual performance targets while maintaining high-quality standards.
- Streamlined workflow of new cases across multiple streams to meet all SLAs.
- Served as subject matter expert for complex queries, escalations, and process enhancements.
- Facilitated colleague training on best practices to enhance overall case management efficiency.
Education
ICA International Diploma - Anti Money Laundering
08.2023
BTEC Level 3 - Sports Science and Exercise Science
Stockport College
07.2014
Skills
- Risk Management
- Compliance Operations
- AML/KYC
- Quality Assurance
- Regulatory Policy Development
- Operational Testing
- Training & Development
- Corporate Onboarding
- Transaction Monitoring
- Sanctions Exposure Analysis
- Stakeholder Engagement
Additional Qualifications
- Stockport College, 09/01/12, 07/31/14, BTEC Level 3 Sports Science and Exercise Science (Triple Distinction)
- ICA, 08/01/23, International Diploma in Anti Money Laundering
Timeline
Senior Global Risk Associate
Xe
07.2024 - Current
Senior Global Quality Assurance Analyst
Xe
08.2021 - 07.2024
Senior Compliance Operations Executive
Xe
04.2020 - 08.2021
Senior QC Analyst
RBS (Contract)
10.2019 - 03.2020
Remediation Analyst
Bank ABC (Contract)
04.2019 - 08.2019
Senior QC Analyst
RBS (Contract)
07.2018 - 04.2019
Senior Case Lead
JP Morgan (Contract)
12.2017 - 07.2018
Senior Compliance Executive
Global Reach Partners (Contract)
07.2017 - 10.2017
Quality Assurer
Goldman Sachs (KPMG) (Contract)
08.2016 - 07.2017
OKYC Quality Control Analyst
Lloyds Banking Group
04.2015 - 08.2016
KYC Quality Control Analyst
Lloyds Banking Group
09.2013 - 04.2015
ICA International Diploma - Anti Money Laundering
BTEC Level 3 - Sports Science and Exercise Science
Stockport College
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