Moosa Khan

Responsible in ensuring compliance with internal controls and external regulatory frameworks across multiple departments.

• Developed QA procedures and compliance checklists to monitor adherence to organizational policies.
• Conducted root cause analyses on compliance breaches, leading to a 30% reduction in non-conformance incidents.
• Partnered with Risk, Legal, and Audit teams to ensure accurate documentation and process alignment.
• Implemented corrective action plans (CAPA) resulting in improved audit scores year over year.

• Worked as Financial Crime Compliance Analyst (FCC) and Regulatory Compliance (RC) on KYC and AML Screening (Sanctions, PEP, Negative Media and TRMRL) and Sanctions Payments.

• Reviewed and Investigated accounts for fraudulent activities.
• Worked as dispute specialist for fraud claims
• KYC Remediation , Client data services , Client Cycle Management .