Frank MORICONI

– Performed full AML/KYC reviews including CDD/EDD, risk scoring, and documentation – Handled 1,199 KYC reviews and onboardings in six months, across Personal Physical, Corporate – Conducted sanctions and PEP screening and prepared compliance committee minutes. – Implemented a new structure and set internal procedures with reinforced access controls. – Produced monthly compliance statistics and dashboards to support management oversight.

– Performed AML/KYC checks as part of operational controls for payments and transfers. – Strengthened documentation workflows and improved traceability of client information. – Enhanced reconciliation and payment processes to reduce operational risk.

– Receipt & booking of cash and securities transactions – Cash & securities instructions by swift – Follow up settlement cash and securities transactions – Derivatives transactions and reconciliation – Transfer Agent functions – Middle and back office tasks for cash and securities

– Daily reconciliation collection accounts – Fund payment process (input, review, amendments, validation) – AML-KYC awareness (source of funds check) – Accounts opening and closing process – Oversight of accounts handled by IFDS Canada & Ireland – General investigation and monitoring

– Managed client onboarding and account maintenance in line with AMLD requirements. – Performed shareholder identification, documentation checks, and risk assessments. – Conducted sanctions and PEP screening using World-Check and open-source tools. – Coordinated with distributors and promoters to resolve documentation gaps. – Oversaw re-identification for blocked cash accounts and escalated suspected fraud cases

– Input and validation orders transactions – sending estimation files – launch new funds – follow up and manage queries received

– CONSEILS EN RETRAITE ÉPARGNÉ PRÉVOYANCE CRÉDIT – PROSPECTION NOUVEAUX CLIENTS – GESTION PORTEFEUILLE CLIENTS PARTICULIÈRES – 7EME NATIONALE EN 2004

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– Vente et conseils articles de sports – fitness – materiels de musculation – sports de combats