Open to opportunities

Timothy Mark-Ugwumba

@timothymarkugwumba

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Passionate Compliance Professional with expertise in risk and governance.

Nigeria

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What I'm looking for

I am looking for a role that challenges my compliance expertise and offers opportunities for growth in a dynamic environment.

I am a dedicated Compliance Professional with nearly a decade of experience in the financial services and Crypto/Web3 industries. My expertise lies in governance, risk, and compliance (GRC), data protection, and developing robust risk and compliance programs. I have a proven track record in investigations, internal audit, fraud management, and regulatory reporting across multiple jurisdictions globally.

Throughout my career, I have successfully led compliance functions, implemented comprehensive frameworks, and developed policies that enhance regulatory posture. My analytical skills and familiarity with compliance-related tools have enabled me to conduct complex investigations and risk assessments, resulting in significant reductions in compliance errors and risk exposure. I am committed to fostering a culture of compliance and ensuring that organizations meet or exceed regulatory requirements.

Experience

Work history, roles, and key accomplishments

Current

Head of Compliance

Current

Waza

May 2024 - Present (1 year 2 months)

Led compliance and AML functions, implementing a comprehensive framework that enhanced regulatory posture. Advised on compliance issues and developed strategies to mitigate risks. Managed KYC checks and developed compliance policies to meet regulatory requirements.

Compliance Management AML KYC Risk Assessment Policy Development Regulatory Compliance Fraud Investigation Governance Risk And Compliance Data Protection

Compliance Operations Manager

Chipper Cash

Mar 2022 - Nov 2023 (1 year 8 months)

Conducted financial crime risk assessments, leading to a significant reduction in risk exposure. Developed compliance policies and conducted investigations on customer activities to ensure adherence to regulations.

Compliance Management KYC Fraud Investigation Regulatory Compliance Policy Development Data Analysis Stakeholder Management Risk Mitigation

Sr. Crypto Compliance Officer

RDX Works Ltd.

Aug 2021 - Jan 2022 (5 months)

Developed AML/CFT and KYC compliance guidelines, resulting in a significant reduction in compliance errors. Provided training on compliance initiatives and implemented customer onboarding processes.

AML CFT KYC Policy Development Training Risk Management Identity Verification Regulatory Compliance Fraud Prevention

Risk and Compliance Officer

AgricPay

Oct 2019 - Aug 2021 (1 year 10 months)

Built compliance processes from scratch, including AML/KYC policies. Conducted compliance reviews and developed documentation to improve operational efficiency.

KYC Risk Assessment Policy Development Documentation Fraud Prevention Internal Controls Regulatory Compliance

Risk and Compliance Officer/Lead

Yellow Card Financial, Inc.

Aug 2020 - Aug 2021 (11 months)

Developed guidelines for AML/CFT compliance, leading to a reduction in compliance errors. Managed the license application team and implemented transaction monitoring frameworks.

AML CFT KYC Risk Management Transaction Monitoring Policy Development Regulatory Compliance Fraud Investigation

Risk Consultant

KPMG Nigeria

Oct 2017 - Oct 2019 (2 years)

Provided consulting services on AML/CFT compliance, leading to increased regulatory compliance. Assisted clients in identifying control gaps and trained new department members.