Angelika Gorak

– Reviewing and investigating the alerts generated by the system. Recognizing red flags in unusual transaction patterns (with help of Milvus, FircoSoft, AfterData) – Writing a comprehensive analysis of the account activity to support the disposition to close a case or escalate for further action – Reporting the investigation findings and preparing case files for review (e.g. ensuring media search results performance by KYC team, PEP search, review and analysis wire data, results from internal system searches etc.) – Conducting additional research/review of transactional history as necessary in determining the correct disposition for the Alerts and/or request additional information from the RM/TM Investigator if gaps exist in the documentation or research submitted with their recommended disposition – Assisting Transaction Monitoring Compliance Lead and QA with case investigations and SAR drafting as directed – Providing support in the development, design and implementation of changes to the monitoring rules and tools – Assisting BSA/AML Head of Compliance to ensure that the branch's BSA/AML procedures, manuals, trainings and programs are kept current and relevant for Transaction Monitoring

– Building client relationships by responding the inquiries, identifying and assessing client needs, resolving clients problems related to AML/KYC and Compliance platform – Scheduling and attending meetings with clients and prospective clients, in order to present the purpose, functionality and settings of Cascade – Providing guidance to clients with Cascade's set-up, together with customizing the platform in accordance with client's requirements, processes and procedures – Handling clients feedback, providing appropriate support, solutions and alternatives when needed – Coordinating campaigns related to Cascade new releases

– Assisting Front Teams within the onboarding and life-cycle process of both private banking and investment funds clients – Review client tax documentation received in relation to FACTA, AEI and QI and tax compliance requirements – Analysis of legal and financial documents (such as deeds, contract, articles of association and financial statements) in the context of AML/KYC regulatory requirements for Luxembourg – Blocking or deb-locking the client's possibility to invest in US securities depending on the circumstances

– Supervising AML control activities – Adapting the procedures to bring them into line with regulatory developments in the field of AML – Daily monitoring of client entity files with respect to AML/CFT matters – Liaising with legal teams on outstanding matters and jointly with Director Compliance responsible for implementing and organizing regulatory provisions, provide for necessary changes required from compliance perspective – Reviewing compliance queries and reverting to teams – Ensuring legal and regulatory watch – Updating client acceptance forms for continuation review (CAFC) for 2 business units – Provide internal training to junior staff – Act as a first point of contact to clients, being the key contact person for all legal matters