Zohaib Shaukat Customer Service Professional

Credit Card Advisory

Royal Bank of Canada

Nov 2022 - Current (3 years 7 months)

• Proactively engage with RBC clients to provide necessary banking solutions and exceptional service • Cultivate and maintain relationships with partners to live the exemplary RBC values • Contribute to team results by supporting all colleagues to be successful in meeting client needs • Manage risks by adhering to compliance routines, processes and controls to protect client interests

Assistant Vice President - Customer Due Diligence

First Abu Dhabi Bank

Aug 2019 - Aug 2022 (3 years 1 month)

Performed multiple engagements under the Financial Crime unit, supporting the Senior management in achieving 'Compliant status' during exhaustive AML reviews performed by the Central bank of UAE in 2020 and 2022. • Performed Enhanced Due Diligence (EDD) of High risk rated and Ultra high-net worth clients (UHNW) for various business segments including Private, Corporate banking and financial institutions. • Supported the Transaction Monitoring team in timely submission of STRs to address shortened case processing timelines by the Central Bank of UAE in 2022. • Provided FCC advisory to Compliance teams located in International locations (14 countries) such as United Kingdom, United States, France, Switzerland, Singapore, Hong Kong and majo

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Associate Director - Financial Crime Risk (UAE)

Apr 2017 - Jul 2019 (2 years 4 months)

Standard Chartered Bank Supported in performing risk assessment of the FCC function inline with the Operational risk framework. Ensure timely reporting of all KRI controls. Was recognized by the Compliance Leadership team for hard work. • Assisted with the implementation and maintenance of the Group Assess, Analyze and Act process • Perform monthly QA reviews of Transaction monitoring, Name screening and Transaction screening teams • Ensure timely submission of comprehensive Suspicious Transaction Reports to the Central bank of UAE • Maintain risk oversight on the risk processes owned by Financial Crime Compliance • Conduct AML training for Compliance and FCC teams to ensure adherence to Group procedures Zohaib Shaukat (CAMS, MBA) H

Associate - Financial Crime Compliance

Standard Chartered Bank

Oct 2014 - Apr 2017 (2 years 7 months)

Performed Transaction Monitoring reviews for 13 African countries. Was nominated to travel to Nigeria to provide training and advisory to the newly formed Transaction Monitoring team and assist in reducing the alert backlog. • Support the daily management of FCC Transaction Monitoring for African countries such as Botswana, Ghana, Gambia, Nigeria, Sierra Leone, Uganda and Zimbabwe to name a few. • Partner with Country Heads for the prompt filing of Suspicious Transaction Reports • Perform Quality Assurance reviews for Transaction monitoring team and report findings • Ensure interaction with team members across the region for frequently sharing intelligence reports • Actively train and supervise duties performed by junior financial crim

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Compliance Officer

Doha Bank

Feb 2010 - Oct 2014 (4 years 9 months)

Regularly inspected all the Doha bank countrywide branches as per the annual inspection plan and reported lapses against Central bank guidelines to the Compliance Senior management. Supported in testing the Norkom system. • Oversee the corporate compliance program implementation and conduct thematic reviews • Conduct risk-based audit inspections and ensure prompt rectification of identified risks • Prepare and escalate Suspicious Transaction Reports to be filed with the Qatar Central bank • Lead a major fraud detection exercise, identifying a range of bank wide breaches • Ensure monthly audit finding reports are compiled and shared with Senior management

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Unit Manager - Compliance

HSBC MIDDLE EAST LIMITED

Nov 2007 - Feb 2010 (2 years 4 months)

• Was a part of the Unsecured products launch team and deployed the required processes and controls • Implemented the first line Compliance risk controls for the Unsecured business • Was a point of contact from the Retail business team, during the State Bank of Pakistan inspection • Ensuring all regulatory policies are strictly adhered on regular basis

Assistant Manager - Compliance and controls

Standard Chartered Bank

Jun 2006 - Nov 2007 (1 year 6 months)

• Conduct Risk reviews for Retail banking business in conformance with the Operational risk program • Monitor and review controls, performance and client acquisition data with the Head of Business • Implemented a framework to detect fraud and mis-selling instances inline with Group guidelines • Draft reports to share breaches with Business heads and ensure rectification • Conduct Anti-money laundering trainings on a quarterly basis

Supervisor - Customer Services

Standard Chartered Bank

Jul 2004 - Jun 2006 (2 years)

• Responsible for resolution of customer queries & complaints of retail banking products • A proven track record of exceptional service in terms of ownership and timely resolution of issues addressed to senior management committee (Mancom) and the State bank of Pakistan • As a part of the audit task force team, successfully assisted in passing the Group audit inspection

Zohaib Shaukat

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