Taihseen Tole

• Ensure compliance with regulatory standards in managing and resolving customer complaints.
• Monitor processes to align with internal policies and legal requirements.
• Investigate complaints for compliance risks, identifying violations and ensuring resolution.
• Analyze complaint data to spot trends, risks, and improvement opportunities.
• Verify and gather customer documentation, ensuring regulatory due diligence.
• Maintain audit-ready records, ensuring transparency and compliance.
• Coordinate with teams to ensure timely and compliant complaint resolution.

• Led the integration of KYC/AML processes into client onboarding, ensuring compliance and efficiency.
• Spearheaded automation initiatives using Lexis Nexis, Bloomberg, and World-Check to streamline screening and reduce manual review.
• Optimized compliance workflows to speed up processing and enhance client experience.
• Developed and delivered KYC/AML training materials, leveraging PowerPoint for impactful presentations.
• Created detailed reports, identifying gaps and recommending improvements.
• Worked closely with stakeholders to streamline processes, cutting delays and boosting operational efficiency.
• Produced engaging content to raise awareness of KYC/AML standards.

• Basic Name Screening.
• Perform Customer Due Diligence checks before onboarding a client. Outreach pending information and appropriate approval.
• Perform re-KYC for the clients as per risk rating. Perform Due diligence through multiple approved websites and source information.
• Escalate potential breaches to the onshore team.

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• Address customers' concerns,resolve issues and provide accurate information to meet their needs.
• Maintained detailed records of each advisor's performance within the team.
• Worked collaboratively with the newly onboarded team to meet business requirements.