Zheni Y.

- Compliance lead for the Pershing EMEA transformation project. Managed successful completion of the Compliance Team’s requirements and represented the team at regular project meetings. - Led the operational workstream for implementing the SM&CR and set up Pershing’s Conduct and Fitness and Propriety Panels. Received Team Award. - Re-designed, implemented and remained responsible for delivering the golden source Compliance Department management information framework. Reports presented to Board, Executive, Risk, Irish Risk and Compliance Oversight and Jersey Compliance Oversight Committees. - Compliance lead for trading and execution workstreams for MiFID II implementation. - Managed the successful completion of gap analysis of the Global FX Code across the Pershing UK business. Enabled the company to sign up to the Code ahead of schedule. - Developed and implemented a compliance control group framework, introducing new and robust controls, MI, and an incident management process in consultation with the Head of Compliance Advisory. - Analysed legislation, regulatory and industry announcements and guidance and helped the business develop and implement procedures to meet these requirements. - Compliance Control Group responsibilities – trading compliance, employee compliance, conflicts of interest, market abuse surveillance and completing a yearly surveillance risk assessment. Incident investigations inclusive of submissions to national competent authorities and responding to regulatory, exchange and Takeover Panel enquiries. - Led the Pershing EMEA centralisation of Personal Securities Trading

- Responsible for compliance with US, UK, EU and UN sanctions for Pershing UK in line with Group policies and regulatory requirements. Worked closely with colleagues in Pershing LLC and BNYM. Attended an internal committee responsible for overseeing compliance with economic sanctions. - Identified, developed, and transitioned multiple processes to colleagues in overseas jurisdictions, which led to improvements in the economic sanctions and compliance control frameworks. - Received internal reports, undertook an internal review of suspicions and determined if internal or external submissions to NCA or FCA were required. - Responded to business unit and client queries concerning money laundering and financial crime. - Designed, drafted and delivered economic sanctions training and information sessions to staff. - Instrumental in initiating and successfully delivering real-time Swift sanctions monitoring system, Fircosoft. Delivered significant improvements to the control environment and minimised the risk of potential sanctions breaches. Project delivered ahead of schedule and under budget. - Designed, planned and successfully transitioned the first level of potential sanctions and adverse media alert reviews to overseas jurisdiction. Implemented a robust oversight model.

Experience consolidated under Vice President, Financial Crime

Experience consolidated under Vice President, Financial Crime

- Conducted KYC due diligence and public records research on existing and prospective client files per Money Laundering Risk Rankings. - Sanctions and adverse media monitoring: reviewed potential OFAC, UK, EU, UN, Politically Exposed Persons (PEP) and World-Check alerts to determine materiality regarding clients, potential and underlying clients, and payments. - Proactively assessed economic sanctions and adverse media scanning processes. Designed, developed and implemented improvements and new processes working with BNYM IT, Pershing IT and Project Management teams and Operations.

- Supported a Senior Compliance Officer on the technical implementation of MiFID I. - Reviewed potential OFAC, UK, EU, UN sanctions, PEPs and adverse media alerts.