Nicaise Seyap

Led a Transfer Agent project to institute control functions for investor account recertification in UCITS funds, covering Europe, America, and Asia. Successfully cleared a backlog of 4000 files and transaction alerts, focusing on high-risk investors.

Managed a project to update and reactivate dormant accounts, process inheritance and exit country files. Updated the bank's transaction monitoring procedures and achieved 100% resolution on all generated alerts.

Oversaw customer onboarding, fiscal background checks, and transaction monitoring, ensuring all generated alerts were processed. Performed quality control on closed alerts to ensure adherence to bank procedures and handled all police and court requests.

Led a remediation project to update customer files, assisting the MLRO with financial crime control framework oversight and agent training. Conducted thorough CDD/EDD on new clients and reviewed transaction alerts from high-risk countries.

Performed gap analysis according to National Bank of Belgium regulatory guidelines, reviewed and closed all open alerts, and recategorized client risk ratings. Was responsible for reviewing all SARs and acted as the main contact for transaction monitoring banking alerts.

Provided SME insights on cases that underwent KYC review and Quality Control, conducting ad hoc and pre-planned coaching for analysts. Ensured consistency within the KYC/QC framework and communicated progress and issues to senior stakeholders.

Led a remediation project to reassess and validate files as per the Belgian regulator (NBB) for file migration, overseeing five consultants. Performed gap analysis on various entity types and handled escalations regarding TM, corresponding banking, AML, and sanction screening.

Managed a contract to onboard, remediate, and validate files in accordance with CSSF regulations for file migration. Reviewed account opening documentation and applied Standard and Enhanced Due Diligence based on assigned risk.

Reviewed files of high-net-worth individuals, funds, SPVs, SICAF, and SICAV structures across multiple European countries, achieving 100% approval from the group compliance panel. Conducted AML/QC periodic review checks and validated files in line with tax laws.

Managed a team of eight compliance FTEs during a KYC/AML/TM remediation project, acting as a deputy MLRO. Conducted gap analysis for finance/corresponding banking procedures and produced AML/CLM risk assessments due to business growth.

Responsible for the productivity of a six-FTE team, setting daily targets and providing training. Collaborated with various KYC/AML/Sanctions workstreams to ensure a coordinated approach to quality assurance, performing 20% QA checks on files.

Managed KYC/AML/QC responsibilities with managerial oversight for matters related to France. Collected and analyzed client information from various entities including banks, non-FI private companies, SPVs, PIVs, and Hedge Funds.

Acted as a KYC/AML/CDD/EDD subject matter expert, refreshing KYC records for existing clients. This involved handling trusts, SPVs, MSBs, and all entities classified as high-risk according to the risk score matrix.

Provided regulatory compliance training on new laws and requirements in line with banks' risk appetite. Offered legal advisory support and recommendations to banks on financial crimes, KYC, and compliance matters.

Obtained a Certificate in International Financial Sanctions from BPP University, focusing on the intricacies of global financial regulations and their impact on compliance.

Completed a Certificate in Financial Regulatory Compliance, KYC, and AML at the International Compliance Association (ICA), affiliated with the University of Manchester. This program enhanced expertise in anti-money laundering and know-your-customer protocols.

Acquired Prince2 Project Management certification from Knowledge Academy, developing skills in structured project management methodologies. This certification is crucial for leading and managing complex projects effectively.

Earned a Postgraduate Diploma in European and International Trade Law from the University of Leicester. This program provided a deep understanding of legal frameworks governing international trade.

Grade: 2:1

Completed an LLB with a 2:1 classification, specializing in English Common Law and French Civil Law. This dual legal education provided a comprehensive foundation in two major legal systems.