Thaddeus Sabai

Onboarding:

• Conducted risk assessments and categorization for new clients.
• Performed Enhanced Due Diligence (EDD) on high-risk clients.
• Conducted name screening and free search checks for sanctions, PEP, and adverse media.
• Implemented four-eyes checks as second-level reviewer.

Risk Management for Existing Clients:

• Implemented ongoing monitoring and transaction reviews for existing clients.
• Conducted financial crime investigations and prepared Suspicious Transaction Reports (STRs).
• Managed exit process for rejected clients.

Additional Responsibilities:

• Provided advisory on KYC/AML regulatory compliance to various company departments.
• Assessed, developed, and improved upon internal policies and procedures.
• Assisted in responding to law enforcement agencies (SPF, CAD, ACRA) and provided necessary information and documents.
• Stayed updated with latest changes in regulatory requirements and company procedures.

• Facilitated seamless onboarding of new clients by directly engaging with them, comprehensively understanding their business operations and activities.
• Requested and obtained KYC documents, both personal and corporate, to comply with regulatory requirements and ensure due diligence.
• Conducted meticulous review of collected documents to ensure compliance with regulatory guidelines, verifying their accuracy and completeness.
• Conducted thorough name screenings, promptly identifying any potential red flags during onboarding process and taking appropriate escalation measures.
• Ensured swift and efficient responses to client inquiries and concerns, contributing to high levels of client satisfaction throughout onboarding process.

• Actively sought out and acquired new clients through effective prospecting strategies.
• Conducted thorough financial analysis for clients to understand their specific financial needs and objectives.
• Customized and developed appropriate financial solutions, focusing on insurance products and mutual funds, to align with clients' financial goals.
• Demonstrated strong sales acumen by effectively promoting and selling insurance products and mutual funds.
• Achieved ‘Emerging Star’ award for Y2020 (Among top performing new hires.