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Financial Crime Specialist

Work Experience

Director, Financial Crime Risk Management (February 2008 – to date) - Consultancy, due diligence and investigation services in the financial services and corporate markets, assisting UK and European clients to identify, manage and respond to fraud, money laundering and corruption risk in transactions, business relationships, JV partners and counterparties.

April 2008 - April 2009 - Interim Head of Financial Crime for UK financial services firm; coordinating Group response to financial crime, assessing PEP and Sanctions risk, developing and enhancing fraud and money laundering governance arrangements, around a core business with several outsource service providers.

Vice President, CRA International UK Ltd (March 2007 to January 2008) - Head of Forensic Investigations, providing advisory, investigations and financial crime risk-management services to clients.
Fraud and Foreign Corrupt Practices Act investigations for UK and international clients.
Nominated Officer under the Money Laundering Regulations (MLRO).

Director, KPMG Forensic (May 1995 to November 2001 and August 2003 to March 2007) - Investigating fraud committed by management, employees and third parties. Leading teams of various sizes assisting clients in the financial services, pharmaceutical, manufacturing, retail, public and healthcare sectors; in Europe, the Middle East, Far East and North America.
Section 166 FSMA projects (commissioned by clients for the benefit of the UK Financial Services Authority); assessing and reporting on the effectiveness in practice of fraud and money laundering systems, controls and risk management.
Advisory services to improve clients’ internal procedure and enhance compliance with UK anti-money laundering and financial sanctions regime, delivering improvements in systems and controls via an integrated risk management framework.
Leading reviews of anti-money laundering and fraud systems and controls in banks and branch networks in the United Kingdom, France, Hungary, Russia, Georgia, The Netherlands, Czech Republic and Switzerland.
Worked with Liechtenstein financial sector firms to improve money laundering awareness and risk-management (in the period prior to Liechtenstein’s removal from FATF list of non-cooperative jurisdictions).

Examples of project management and complex client engagements:
(a) Leading a multi-national team in a Global Financial Services firm, reviewing large volumes of transaction data and analysing related customer intelligence for indicators of money laundering or terrorist financing.
(b) Special audit of a Swiss bank, searching for assets belonging to victims of Nazi persecution, leading multi-national ‘Name & Asset Matching Analysis’ team – involving 80+ personnel analysing several million data records, reconstructing records of assets deposited in Swiss banks by potential victims of Nazi persecution during the 1930’s & 1940’s.
(c) Managing teams delivering data matching and analysis projects involving high volumes of disparate data in electronic discovery assignments.
(d) Complex investigation and litigation support for actions heard in London’s High Court, including a £500 million action. Tracing assets, interviewing and obtaining evidence from suppliers of goods and services in multiple jurisdictions.
(e) Leading a team reviewing T&M and procurement costs on a drilling-rig refurbishment, reconstructing records to identify evidence of fraud and/or malpractice. Findings used by client to negotiate a financial settlement.

Head of Economic Crime Branch, National Criminal Intelligence Service(Nov 2001 to Aug 2003) - Head of UK Financial Intelligence Unit (“FIU”):
(a) Heading a group of multi-agency operational managers and team leaders on investigative data analysis and intelligence development, relating to money laundering and terrorist financing.
(b) Restructured operations to respond to increased reporting volumes from financial sector firms, out of new Proceeds of Crime legislation and the 911 terrorist events in New York.
(c) Service delivery to law enforcement, UK and international agencies (e.g. EGMONT and FATF), and UK financial sector firms; co-ordinating policy on financial intelligence; liaison with Government departments and various regulatory bodies, on money laundering, corruption and terrorist financing.

Group Security Operations Manager, Dixons Stores Group (August 1993 to May 1995) - Managing national loss prevention team, coordinating incident response and loss reduction in retail and warehouse sites; key responsibilities:
(a) Investigating suspicion of impropriety identified in operations and supply chain (eg retail and distribution sites, procurement and accounts payable, transport and infrastructure, and third parties).
(b) Investigating shrinkage caused by theft, fraud, stock manipulation or mismanagement.
(c) Managing ‘Help Desk’ and ‘Alarm Monitoring Station’, responding to all incidents/threats against company personnel or assets.

Metropolitan & City Police (July 1981 to August 1993) - Twelve years experience of investigating fraud, money laundering and other major crime. The last five years were employed in the Company Fraud Department as a specialist investigator of organised crime, fraud, corruption and money laundering, working with UK and international law enforcement and prosecution bodies.

Education

MBA - The Open University
B.Sc (Hons) - Nottingham University

Skills

Financial Crime Specialist; 28 years experience covering:
• Fraud, AML and anti-corruption.
• Former head of UK National Financial Intelligence Unit
• System and control reviews (e.g. s.166 FSMA).
• Risk-based controls for financial crime.

Languages

English

Other

Contributing author:
Money Laundering Methodology: – Butterworth’s International Guide to Money Laundering Law and Practice (Second edition – 2002).
The Fraud Manager’s Reference Guide, BBA Enterprises, 2005

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