Andrea Henriques, CAMS

Andrea Henriques, CAMS

Officer - Middle Office Operations – Portfolio Investments

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location of Andrea Henriques, CAMSUnited Arab Emirates

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  • Timeline

  • About me

    Associate Director - Policy Implementation at Standard Chartered Bank

  • Education

    • Xavier Institute Of Management and Research

      2010 - 2012
      Master of Business Administration (M.B.A.) Accounting and Finance First
  • Experience

    • ICICI Bank

      Jan 2008 - Nov 2008
      Officer - Middle Office Operations – Portfolio Investments

      Job Description: Domestic banking Unit:Handled different products such as Domestic Mutual Funds, Direct Real Estate. Income booking at the year end for Direct Real Estate.Maintaining MIS of client/investor database.Liaison with our Counter-parts situated at Hyderabad as well as the Relationship Managers across the globe.Portfolio Investment Scheme (PIS):RBI Reporting of trades carried out by NRI customers.Issuance/cancellation/Transfer of PIS Approval.Crediting of TDS & Sale Proceeds for Non PIS customer for the sale of shares.Tax payout to the Government.Calculation of TDS & issuance of TDS Certificates to customers at the year end.Handling customer queries. Show less

    • Serco

      Dec 2008 - Sept 2009
      Senior Customer Service Associate - Mortgages & Loan Sanctioning

      Job Description: Performing a role of an Underwriter for Barclays.Assessing Mortgage & loan applications for UK Barclays Customers.Sanctioning of mortgages & loans.

    • IndusInd Bank

      Jun 2012 - Sept 2012
      Customer Service Manager - Retail Banking

      Job Description: Performing Branch Operations such as Account opening, Document Scrutiny, Exceptions Clearing, Cheque Clearing.Attending to Walk-in Customer needsResolving customer queries/issues.Following up with customer request/welcome calling.Cross-selling for Third Party Products.

    • BNP PARIBAS INDIA SOLUTIONS PRIVATE LIMITED

      Dec 2012 - Jul 2015
      KYC/Money Laundering Reporting Officer

      Job Description: Performing due diligence for Low & Medium Risk accounts for Hong Kong, Singapore, North America, Canada region.Obtaining mandatory documents as per Regulatory requirements as per local add-ons of regions.Perform necessary Background checks against local and global blacklists.Currently working on Bloomberg Terminal, Zawya, Mint, Worldcheck, Alacra, Bankers Almanac, Online Compliance, Factiva, LYNX, Vigilance, Sidesafe Watch, OFAC.MIFID & FATCA classification.Liaison with the onshore clients to complete the KYC/AML requirements. Contributing to the implementation of Permanent Control policies and procedures in day-to-day business activities & managing the document repository – PACT. Providing weekly KPI reports for Singapore, Hong Kong, North America, Canada region.Managing the Pipeline file & allocations.Projects:Successfully completed the Medium Risk Remediation Project, which involved a 2-month travel to Singapore.Successfully migrated accounts from Indonesia to Global repository.Currently migrating the India Securities KYC/AML process.Awards:Won the Bravo award for the Q1 2014 for outstanding performance in BNPPISPL.Won the Best Team award for exceptional performance in Q2 2014 in BNPPISPL. Show less

    • BNP PARIBAS SERVICES FZ LLC

      Aug 2015 - Jan 2016
      KYC Due Diligence Officer

      Job Description: Performing due diligence for Medium & High Risk accounts for Middle east & Africa region.Obtaining mandatory documents as per Regulatory requirements as per local add-ons of regions.Perform necessary Background checks against local and global blacklists.Currently working on Bloomberg Terminal, Zawya, Mint, Worldcheck, Alacra, Bankers Almanac, FACTIVA, LYNX, Vigilance.FATCA classificationLiaison with Compliance & other due diligence team across the world to complete the KYC/AML requirements.Organising a Client Acceptance Committee meeting with regional compliance, due diligence, legal team across the globe.Mailbox management Show less

    • Standard Chartered Bank

      Mar 2016 - now

       Establish and maintain watch lists used for customer and transaction screening and various other due diligence and investigative purposes (local/regional internal and external) Keep track of and provide advice to relevant stakeholders on the interpretation and application of regulatory expectations, laws, best practices and policies related to FCC Be updated on current events, regulatory issues and new and changing Sanctions regulations, in country, in the UK and the US, and internationally Provide Sanctions Compliance advice and guidance to businesses and functions in a timely, effective and constructive manner on client relationships, transactions, products and all other issues related to regulatory remediation prgramme escalated to the Regional FCC Sanctions Management of processes around Task Force activities including rejected transactions and adhoc reviews and and maintenance of internal lists Support preparation of advisory proposals to be tabled at relevant forums in relation to the remediation programme. Establish and maintain reporting of key metrics to Financial Crime Compliance Sanctions leadership on a regular basis Analyse and interpret data to produce reports that help the bank identify and manage emerging areas of risk / vulnerability and thus drive remediation action within the FCC function Escalate immediately to Regional Head of Sanctions material breaches or potential breaches of sanctions laws, regulation or Group procedures Show less  Advising on CDD policy, escalation of higher risk relationships and adhering to the procedure/policy in the region Advising on the Bank’s sanctions risk management framework as it applies to client relationships Assessing risks arising from specific clients and managing those risks in the interests of the Bank Undertaking hubbed CDD review activity  Review Politically Exposed Persons (“PEP”) files and sensitive client files Escalating issues requiring business rejection/restriction Train teams in the region that are responsible for CDD in the first line and establishing a feedback loop to support continuous improvement. Team allocations and MIS reporting to stakeholders Show less

      • Associate Director- Policy Implementation

        Nov 2019 - now
      • Associate - Financial Crime Compliance Sanctions

        Dec 2018 - now
      • Associate - Financial Crime Compliance AME

        Mar 2016 - Dec 2018
  • Licenses & Certifications

    • Certified Anti-Money Laundering Specialists

      Association of Certified Anti-Money Laundering Specialists
      Jun 2018